0001209191-23-058782.txt : 20231215 0001209191-23-058782.hdr.sgml : 20231215 20231215163449 ACCESSION NUMBER: 0001209191-23-058782 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231213 FILED AS OF DATE: 20231215 DATE AS OF CHANGE: 20231215 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Namkung James W CENTRAL INDEX KEY: 0001729468 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 231490886 MAIL ADDRESS: STREET 1: C/O INTERCONTINENTAL EXCHANGE, INC. STREET 2: 5660 NEW NORTHSIDE DRIVE, NW CITY: ATLANTA STATE: GA ZIP: 30318 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 X0508 4 2023-12-13 0 0001571949 Intercontinental Exchange, Inc. ICE 0001729468 Namkung James W 5660 NEW NORTHSIDE DRIVE, NW ATLANTA GA 30328 0 1 0 0 Chief Accounting Officer 1 Common Stock 2023-12-13 4 S 0 1171 120.00 D 18677 D Common Stock 2023-12-14 4 S 0 1078 125.00 D 17599 D This transaction was effected pursuant to a Rule 10b5-1 trading plan which was approved and became effective as of March 9, 2023. Amount of securities beneficially owned includes 121 shares acquired under the Intercontinental Exchange, Inc. Employee Stock Purchase Plan on June 30, 2023. The common stock number referred in Table I is an aggregate number and represents 14,179 shares of common stock and 438 unvested restricted stock units ("RSUs"), and 2,982 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 2023 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 2024 and will be reported at the time of vesting. The satisfaction of the 2022 and 2023 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 February 2026, respectively, and will be reported at the time of vesting. The satisfaction of the performance based restricted stock units granted as Deal Incentive Awards and the corresponding number of shares to be issued pursuant to these awards, will not be determined until December 2026, December 2027 and December 2028 and will be subject to additional time-based vesting conditions and, if applicable, a subsequent one-year holding period. /s/ Octavia N. Spencer, Attorney-in-fact 2023-12-15