SEC Form 4 · accession 0001209191-15-077129
Intercontinental Exchange, Inc. · ICE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David S Goone
Officer — Chief Strategic Officer
Period of report
Oct 26, 2015
Accepted (ET)
Oct 28, 2015 · 4:20 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 | Oct 26, 2015 | M | 1,918 | $104.23 | A | 30,602 | D | |
| Common StockF1 | Oct 26, 2015 | M | 1,249 | $80.17 | A | 31,851 | D | |
| Common StockF1 | Oct 26, 2015 | M | 4,044 | $112.15 | A | 35,895 | D | |
| Common StockF1,F2 | Oct 26, 2015 | S | 10,050 | $250.00 | D | 25,845 | 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) HoldingF3 | $104.23 | Oct 26, 2015 | M | 1,918 | D | — | Dec 22, 2016 | Common Stock | 1,918 | 0 | D |
| Employee Stock Option (right to buy) HoldingF3 | $80.17 | Oct 26, 2015 | M | 1,249 | D | — | Dec 16, 2018 | Common Stock | 1,249 | 0 | D |
| Employee Stock Option (right to buy) HoldingF3 | $112.15 | Oct 26, 2015 | M | 4,044 | D | — | Jan 17, 2022 | Common Stock | 4,044 | 1,339 | 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 common stock number referred in Table I is an aggregate number and represents 14,258 shares of common stock, 4,926 unvested restricted stock units and 6,661 unvested performance based restricted stock units, for which the performance period has been satisfied. The restricted stock units and the performance based restricted stock units vest over a three year period, in which 33.33% of the restricted stock units and 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 corresponding number of shares of common stock to be issued pursuant to that award will not be determined until February 2016 and will be reported at that time.
- F3These options are fully vested.