SEC Form 4 · accession 0001209191-16-097555
Intercontinental Exchange, Inc. · ICE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott A Hill
Officer — Chief Financial Officer
Period of report
Feb 9, 2016
Accepted (ET)
Feb 11, 2016 · 4:24 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 | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 9, 2016 | M | 133 | $189.43 | A | 25,183 | D | |
| Common Stock | Feb 9, 2016 | M | 943 | $106.00 | A | 26,126 | D | |
| Common StockF1 | Feb 9, 2016 | M | 485 | $112.15 | A | 26,611 | 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) HoldingF2 | $189.43 | Feb 9, 2016 | M | 133 | D | — | Dec 28, 2017 | Common Stock | 133 | 5,427 | D |
| Employee Stock Option (right to buy) HoldingF2 | $106.00 | Feb 9, 2016 | M | 943 | D | — | Dec 10, 2019 | Common Stock | 943 | 8,919 | D |
| Employee Stock Option (right to buy) HoldingF2 | $112.15 | Feb 9, 2016 | M | 485 | D | — | Jan 17, 2022 | Common Stock | 485 | 11,050 | D |
Explanation of responses
- F1The common stock number referred in Table I is an aggregate number and represents 19,674 shares of common stock and 6,937 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.
- F2These options are fully vested.