SEC Form 4/A · accession 0001209191-15-026992
Intercontinental Exchange, Inc. · ICE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Sir Robert Reid
Director
Period of report
Sep 16, 2014
Accepted (ET)
Mar 17, 2015 · 4:09 pm EDT
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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 16, 2014 | M | 2,063 | $8.00 | A | 7,101 | 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) HoldingF1,F3 | $8.00 | Sep 16, 2014 | M | 2,063 | D | — | Jan 5, 2015 | Common Stock | 2,063 | 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. This Form 4 Amendment has been filed to amend the Form 4 filed on 09/16/2014 to reflect an exercise of stock options by the reporting person. This option exercise was inadvertly omitted from the original Form 4 filing.
- F2The common stock number referred in Table I, which is as of the date of the transaction (September 16, 2014), represents 6,145 shares of common stock and 956 restricted stock units of the Issuer. The restricted stock units vested on the one-year anniversary of the grant date which was February 27, 2015, which was after the date of the transaction in this Amended Form 4 filing.
- F3These options are fully vested.