0001209191-17-056488.txt : 20171010 0001209191-17-056488.hdr.sgml : 20171010 20171010171007 ACCESSION NUMBER: 0001209191-17-056488 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171006 FILED AS OF DATE: 20171010 DATE AS OF CHANGE: 20171010 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vice Charles A CENTRAL INDEX KEY: 0001343884 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 171131127 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 2017-10-06 0 0001571949 Intercontinental Exchange, Inc. ICE 0001343884 Vice Charles A 5660 NEW NORTHSIDE DRIVE ATLANTA GA 30328 0 1 0 0 President&Chief Op. Officer Common Stock 2017-10-06 4 M 0 8655 22.43 A 378626 D Common Stock 2017-10-06 4 M 0 3845 25.87 A 382471 D Common Stock 2017-10-06 4 S 0 8100 69.29 D 374371 D Common Stock 2017-10-06 4 S 0 4300 70.62 D 370071 D Common Stock 2017-10-06 4 S 0 100 71.14 D 369971 D Employee Stock Option (right to buy) Holding 22.43 2017-10-06 4 M 0 8655 0.00 D 2022-01-17 Common Stock 8655 0 D Employee Stock Option (right to buy) Holding 25.87 2017-10-06 4 M 0 3845 0.00 D 2023-01-11 Common Stock 3845 104955 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 $69.00 - $69.96. 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 $70.04 - $71.04. 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 279,861 shares of common stock and 90,110 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting. These options are fully vested. /s/ Andrew J. Surdykowski, Attorney-in-fact 2017-10-10