0001209191-22-014775.txt : 20220302 0001209191-22-014775.hdr.sgml : 20220302 20220302163718 ACCESSION NUMBER: 0001209191-22-014775 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220228 FILED AS OF DATE: 20220302 DATE AS OF CHANGE: 20220302 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gardiner Warren CENTRAL INDEX KEY: 0001855007 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 22704248 MAIL ADDRESS: STREET 1: INTERCONTINENTAL EXCHANGE, INC. STREET 2: 5660 NEW NORTHSIDE DR 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 2022-02-28 0 0001571949 Intercontinental Exchange, Inc. ICE 0001855007 Gardiner Warren 5660 NEW NORTHSIDE DRIVE ATLANTA GA 30328 0 1 0 0 Chief Financial Officer Common Stock 2022-02-28 4 F 0 411 128.12 D 15753 D Represents shares of restricted stock issued to the filing person on February 26, 2021. The restricted stock units vest over three years (1/3 on February 26, 2022, 1/3 on February 26, 2023 and 1/3 on February 26, 2024). Of the 2,719 shares, 906 shares were issued on February 28, 2022, of which 411 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 1,813 shares are scheduled to be issued on the two remaining vesting dates and taxes for these future issuances will be withheld and reported at the time the shares are issued. The common stock number referred in Table I is an aggregate number and represents 7,214 shares of common stock and 2,449 unvested restricted stock units ("RSUs"), and 6,090 unvested performance based restricted stock units ("PSU's"), for which the performance period has been satisfied. The RSUs and PSUs vest over a three year period, in which 33.33% of the units vest each year. The satisfaction of the 2022 PSUs 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 2023 and will be reported at the time of vesting. The satisfaction of the 2022 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 2025 and will be reported at the time of vesting. /s/ Octavia N. Spencer, Attorney-in-fact 2022-03-02