0001209191-16-130270.txt : 20160630 0001209191-16-130270.hdr.sgml : 20160630 20160630172839 ACCESSION NUMBER: 0001209191-16-130270 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160629 FILED AS OF DATE: 20160630 DATE AS OF CHANGE: 20160630 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Intercontinental Exchange, Inc. CENTRAL INDEX KEY: 0001571949 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5660 NEW NORTHSIDE DRIVE, STREET 2: THIRD FLOOR CITY: ATLANTA STATE: GA ZIP: 30328 BUSINESS PHONE: 770-857-4700 MAIL ADDRESS: STREET 1: 5660 NEW NORTHSIDE DRIVE, STREET 2: THIRD FLOOR CITY: ATLANTA STATE: GA ZIP: 30328 FORMER COMPANY: FORMER CONFORMED NAME: IntercontinentalExchange Group, Inc. DATE OF NAME CHANGE: 20130313 FORMER COMPANY: FORMER CONFORMED NAME: Intercontinental Exchange Group, Inc. DATE OF NAME CHANGE: 20130312 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sprecher Jeffrey C CENTRAL INDEX KEY: 0001343882 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 161744068 MAIL ADDRESS: STREET 1: 2100 RIVEREDGE PARKWAY STREET 2: SUITE 500 CITY: ATLANTA STATE: GA ZIP: 30308 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-06-29 0 0001571949 Intercontinental Exchange, Inc. ICE 0001343882 Sprecher Jeffrey C 5660 NEW NORTHSIDE DRIVE ATLANTA GA 30328 1 1 0 0 Chief Executive Officer Common Stock 2016-06-29 4 M 0 4674 189.43 A 313444 D Common Stock 2016-06-29 4 M 0 2239 80.17 A 315683 D Common Stock 2016-06-29 4 S 0 6913 251.9816 D 308770 D Common Stock 2016-06-29 4 S 0 15000 251.9493 D 773341 I CPEX Common Stock 2016-06-29 4 M 0 1693 189.43 A 26929 I By spouse Common Stock 2016-06-29 4 S 0 2693 251.8744 D 24236 I By spouse Employee Stock Option (right to buy) Holding 189.43 2016-06-29 4 M 0 4674 0.00 D 2017-12-28 Common Stock 4674 4675 D Employee Stock Option (right to buy) Holding 189.43 2016-06-29 4 M 0 1693 0.00 D 2017-12-28 Common Stock 1693 0 I By spouse Employee Stock Option (right to buy) Holding 80.17 2016-06-29 4 M 0 2239 0.00 D 2018-12-16 Common Stock 2239 8955 D The sales reported in this Form 4 were effected pursuant to a previously announced, pre-arranged trading plan established in accordance with Rule 10b5-1 of the Securities Act of 1934, as amended. The common stock number referred in Table I is an aggregate number and represents 275,821 shares of common stock and 32,949 unvested performance based restricted stock units, for which the performance period has been satisfied. These performance based restricted stock units vest over a three year period, in which 33.33% of the performance based restricted stock units vest each year. The satisfaction of the performance target for the 2016 performance based restricted stock units and the one-time NYSE merger-related performance based restricted stock units, and the corresponding number of shares of common stock to be issued pursuant to these awards, will not be determined until February 2017 and will be reported at the time of vesting. As previously reported, the reporting person also indirectly owns 773,341 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership. These shares are beneficially owned directly by Continental Power Exchange, Inc. ("CPEX"). Mr. Sprecher beneficially owns 100% of the equity interest in CPEX directly. Additionally, as previously reported, the reporting person also owns shares directly and indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership. The common stock number referred in Table I is an aggregate number and represents 20,707 shares of common stock and 3,529 unvested performance based restricted stock units, for which the performance period has been satisfied. These performance based restricted stock units vest over a three year period, in which 33.33% of the performance based restricted stock units vest each year. The satisfaction of the performance target for the 2016 performance based restricted stock units and the one-time NYSE merger-related performance based restricted stock units, and the corresponding number of shares of common stock to be issued pursuant to these awards, will not be determined until February 2017 and will be reported at the time of vesting. As previously reported, the reporting person also indirectly owns 773,341 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person also beneficially owns shares directly. These options are fully vested. /s/Andrew J. Surdykowski, Attorney-in-fact 2016-06-30