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