SEC Form 4 · accession 0001209191-15-057562
Intercontinental Exchange, Inc. · ICE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas W Farley
Officer — President, NYSE Group
Period of report
Jun 26, 2015
Accepted (ET)
Jun 30, 2015 · 4:17 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 | Jun 26, 2015 | M | 3,058 | $112.48 | A | 10,297 | D | |
| Common StockF1 | Jun 26, 2015 | M | 4,829 | $112.15 | A | 15,126 | D | |
| Common StockF1,F2 | Jun 26, 2015 | S | 4,587 | $225.9943 | D | 10,539 | D | |
| Common StockF1,F3 | Jun 26, 2015 | S | 3,201 | $227.126 | D | 7,338 | D | |
| Common StockF1,F4 | Jun 26, 2015 | S | 99 | $228.00 | D | 7,239 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Empoyee Stock Option (right to buy) HoldingF5 | $112.48 | Jun 26, 2015 | M | 3,058 | D | — | Jan 11, 2021 | Common Stock | 3,058 | 0 | D |
| Employee Stock Option (right to buy) HoldingF5 | $112.15 | Jun 26, 2015 | M | 4,829 | D | — | Jan 17, 2022 | Common Stock | 4,829 | 296 | D |
Explanation of responses
- F1The 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.
- F2The price range for the aggregate amount sold by the direct holder is $225.70 - $226.69. 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 $226.72 - $227.69. 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 common stock number referred in Table I represents 7,239 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 performance based restricted stock units vest each year. The satisfaction of the performance target for the 2015 performance based restricted stock units and the one-time NYSE merger-related performance based restricted stock units, and the corresponding number of shares of common stock to be issued pursuant to these awards, will not be determined until February 2016 and February 2017, respectively, and will be reported at those times.
- F5These options are fully vested.