0001209191-20-060894.txt : 20201201 0001209191-20-060894.hdr.sgml : 20201201 20201201163149 ACCESSION NUMBER: 0001209191-20-060894 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201127 FILED AS OF DATE: 20201201 DATE AS OF CHANGE: 20201201 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: 201361213 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 2020-11-27 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 2020-11-27 4 M 0 5514 41.37 A 186243 D Common Stock 2020-11-27 4 S 0 5514 105.0044 D 180729 D Common Stock 2020-11-30 4 M 0 17281 41.37 A 198010 D Common Stock 2020-11-30 4 S 0 17281 105.0463 D 180729 D Employee Stock Option (right to buy) Holding 41.37 2020-11-27 4 M 0 5514 0.00 D 2024-01-17 Common Stock 5514 40076 D Employee Stock Option (right to buy) Holding 41.37 2020-11-30 4 M 0 17281 0.00 D 2024-01-17 Common Stock 17281 22795 D The transactions reported in this Form 4 were effected pursuant to a pre-arranged trading plan established in accordance with Rule 10b5-1 of the Securities Act of 1934, as amended. The price range for the aggregate amount sold by the direct holder is $105.00 - $105.03. The Issuer will upon request by the Staff of the U.S. Securities and Exchange Commission or a security holder of the Issuer provide the full information regarding the number of shares sold at each separate price. The price range for the aggregate amount sold by the direct holder is $105.00 - $105.15. The Issuer will upon request by the Staff of the U.S. Securities and Exchange Commission or a security holder of the Issuer provide the full information regarding the number of shares sold at each separate price. The common stock number referred in Table I is an aggregate number and represents 160,197 shares of common stock and 20,532 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 2020 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 2021 and will be reported at the time of vesting. The satisfaction of the 2018, 2019 and 2020 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 2021, February 2022 and February 2023, respectively, and will be reported at the time of vesting. These options are fully vested. /s/ Octavia N. Spencer, Attorney-in-fact 2020-12-01