SEC Form 4 · accession 0001209191-15-004196

Intercontinental Exchange, Inc. · ICE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Thomas W Farley

Officer — COO of NYSE Euronext

Period of report

Jan 12, 2015

Accepted (ET)

Jan 14, 2015 · 4:29 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001571949

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock^F1	Jan 12, 2015	M	3,259	$80.17	A	13,219	D
Common Stock^F1,F2	Jan 12, 2015	S	2,454	$216.2764	D	10,765	D
Common Stock^F1,F3	Jan 12, 2015	S	1,429	$217.1722	D	9,336	D
Common Stock^F1,F4	Jan 12, 2015	S	1,088	$218.2177	D	8,248	D
Common Stock^F1,F5	Jan 12, 2015	S	500	$219.11	D	7,748	D
Common Stock^F1,F6,F7	Jan 12, 2015	S	400	$220.22	D	7,348	D

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy) Holding^F8	$80.17	Jan 12, 2015	M	3,259	D	—	Dec 16, 2018	Common Stock	3,259	0	D

Explanation of responses

F1The sales 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.
F2The price range for the aggregate amount sold by the direct holder is $215.7100 - $216.7000. 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.
F3The price range for the aggregate amount sold by the direct holder is $216.8300 - $217.7300. 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.
F4The price range for the aggregate amount sold by the direct holder is $217.8800 - $218.8000. 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.
F5The price range for the aggregate amount sold by the direct holder is $218.8800 - $219.8000. 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.
F6The price range for the aggregate amount sold by the direct holder is $219.9100 - $220.7600. 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.
F7The common stock number referred in Table I is an aggregate number and represents 4,734 shares of common stock and 2,614 unvested performance based restricted stock units, for which the performance period has been satisfied. The 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 2014 performance based restricted stock units and the corresponding number of shares of common stock to be issued pursuant to that award will not be determined until February 2015 and will be reported at that time.
F8These options are fully vested.