0001209191-21-064201.txt : 20211112 0001209191-21-064201.hdr.sgml : 20211112 20211112163306 ACCESSION NUMBER: 0001209191-21-064201 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211110 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Surdykowski Andrew J CENTRAL INDEX KEY: 0001755922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 211404141 MAIL ADDRESS: STREET 1: 5660 NEW NORTHSIDE DRIVE CITY: ATLANTA STATE: GA ZIP: 30328 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 2021-11-10 0 0001571949 Intercontinental Exchange, Inc. ICE 0001755922 Surdykowski Andrew J 5660 NEW NORTHSIDE DRIVE ATLANTA GA 30328 0 1 0 0 General Counsel Common Stock 2021-11-10 4 M 0 2500 41.59 A 41079 D Common Stock 2021-11-10 4 M 0 2070 50.01 A 43149 D Common Stock 2021-11-10 4 S 0 4500 135.08 D 38649 D Employee Stock Option (right to buy) Holding 41.59 2021-11-10 4 M 0 2500 0.00 D 2025-01-20 Common Stock 2500 2500 D Employee Stock Option (right to buy) Holding 50.01 2021-11-10 4 M 0 2070 0.00 D 2026-01-14 Common Stock 2070 10580 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 common stock number referred in Table I is an aggregate number and represents 31,998 shares of common stock and 6,651 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. These options are fully vested. /s/ Octavia N. Spencer, Attorney-in-fact 2021-11-12