0001209191-16-139313.txt : 20160831 0001209191-16-139313.hdr.sgml : 20160831 20160831162858 ACCESSION NUMBER: 0001209191-16-139313 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160829 FILED AS OF DATE: 20160831 DATE AS OF CHANGE: 20160831 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: Short Johnathan H CENTRAL INDEX KEY: 0001343883 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 161863626 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 2016-08-29 0 0001571949 Intercontinental Exchange, Inc. ICE 0001343883 Short Johnathan H 5660 NEW NORTHSIDE DRIVE ATLANTA GA 30328 0 1 0 0 General Counsel & Corp. Sec. Common Stock 2016-08-29 4 M 0 4230 189.43 A 19802 D Common Stock 2016-08-29 4 M 0 159 112.15 A 19961 D Common Stock 2016-08-29 4 M 0 529 129.36 A 20490 D Common Stock 2016-08-29 4 S 0 3703 278.0243 D 16787 D Employee Stock Option (right to buy) Holding 189.43 2016-08-29 4 M 0 4230 0.00 D 2017-12-28 Common Stock 4230 0 D Employee Stock Option (right to buy) Holding 112.15 2016-08-29 4 M 0 159 0.00 D 2022-01-17 Common Stock 159 499 D Employee Stock Option (right to buy) Holding 129.36 2016-08-29 4 M 0 529 0.00 D 2023-01-11 Common Stock 529 4861 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 $277.69 - $278.36. 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 9,727 shares of common stock and 7,060 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. These options are fully vested. /s/Andrew J. Surdykowski, Attorney-in-fact 2016-08-31