0001209191-21-014792.txt : 20210226 0001209191-21-014792.hdr.sgml : 20210226 20210226165347 ACCESSION NUMBER: 0001209191-21-014792 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210224 FILED AS OF DATE: 20210226 DATE AS OF CHANGE: 20210226 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: 21690341 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 2021-02-24 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 2021-02-24 4 M 0 36955 22.43 A 1419431 D Common Stock 2021-02-24 4 M 0 52581 25.87 A 1472012 D Common Stock 2021-02-24 4 M 0 2415 41.37 A 1474427 D Common Stock 2021-02-24 4 S 0 35471 110.7123 D 1438956 D Common Stock 2021-02-24 4 S 0 73566 111.5131 D 1365390 D Common Stock 2021-02-24 4 S 0 19870 110.7334 D 3251835 I CPEX Common Stock 2021-02-24 4 S 0 40130 111.5434 D 3211705 I CPEX Common Stock 81570 I By spouse Employee Stock Option (right to buy) Holding 22.43 2021-02-24 4 M 0 36955 0.00 D 2022-01-17 Common Stock 36955 73910 D Employee Stock Option (right to buy) Holding 25.87 2021-02-24 4 M 0 52581 0.00 D 2023-01-11 Common Stock 52581 105164 D Employee Stock Option (right to buy) Holding 41.37 2021-02-24 4 M 0 2415 0.00 D 2024-01-17 Common Stock 2415 191040 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 $110.10 - $111.09. 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 $111.10 - $111.89. 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 1,293,878 shares of common stock and 71,512 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 2021 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 2022 and will be reported at the time of vesting. The satisfaction of the 2019, 2020 and 2021 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 2022, February 2023 and February 2024, respectively, and will be reported at the time of vesting. The price range for the aggregate amount sold by the direct holder is $110.19 - $111.18. 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 $111.19 - $111.92. 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. These shares are beneficially owned directly by Continental Power Exchange, Inc. ("CPEX"). Mr. Sprecher beneficially owns 100% of the equity interest in CPEX directly. As previously reported, the reporting person also indirectly owns 81,570 shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership. These options are fully vested. /s/ Octavia N. Spencer, Attorney-in-fact 2021-02-26