0001209191-20-009373.txt : 20200213 0001209191-20-009373.hdr.sgml : 20200213 20200213175712 ACCESSION NUMBER: 0001209191-20-009373 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200211 FILED AS OF DATE: 20200213 DATE AS OF CHANGE: 20200213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goone David S CENTRAL INDEX KEY: 0001343869 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 20612467 MAIL ADDRESS: STREET 1: 2100 RIVEREDGE PARKWAY STREET 2: SUITE 500 CITY: ATLANTA STATE: GA ZIP: 30308 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-02-11 0 0001571949 Intercontinental Exchange, Inc. ICE 0001343869 Goone David S 5660 NEW NORTHSIDE DRIVE ATLANTA GA 30328 0 1 0 0 Chief Strategic Officer Common Stock 2020-02-11 4 F 0 4145 94.76 D 161346 D Represents shares of performance based restricted stock units granted to the filing person on February 8, 2018. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2018 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 11, 2019, 1/3 on February 11, 2020 and 1/3 on February 11, 2021). Of the 18,438 shares remaining, 9,219 were issued on February 11, 2020, of which 4,145 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 9,219 shares are scheduled to be issued on February 11, 2021 and taxes for this future issuance will be withheld and reported at the time the shares are issued. The common stock number referred in Table I is an aggregate number and represents 142,530 shares of common stock and 18,816 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 units vest each year. The satisfaction of the 2019 performance based restricted units tied to earnings before interest, taxes, depreciation, and amortization ("EBITDA") and the corresponding number of shares to be issued pursuant to these awards, will not be determined until February 2020 and will be reported at the time of vesting. The satisfaction of the 2017, 2018 and 2019 total shareholder return performance based restricted stock units and the corresponding number of shares to be issued pursuant to these awards, will not be determined until February 2020, February 2021 and February 2022, respectively, and will be reported at the time of vesting. /s/ Octavia N. Spencer, Attorney-in-fact 2020-02-13