SEC Form 4 · accession 0001209191-16-139313
Intercontinental Exchange, Inc. · ICE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Johnathan H Short
Officer — General Counsel & Corp. Sec.
Period of report
Aug 29, 2016
Accepted (ET)
Aug 31, 2016 · 4:28 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 | Aug 29, 2016 | M | 4,230 | $189.43 | A | 19,802 | D | |
| Common StockF1 | Aug 29, 2016 | M | 159 | $112.15 | A | 19,961 | D | |
| Common StockF1 | Aug 29, 2016 | M | 529 | $129.36 | A | 20,490 | D | |
| Common StockF1,F2,F3 | Aug 29, 2016 | S | 3,703 | $278.0243 | D | 16,787 | 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) HoldingF4 | $189.43 | Aug 29, 2016 | M | 4,230 | D | — | Dec 28, 2017 | Common Stock | 4,230 | 0 | D |
| Employee Stock Option (right to buy) HoldingF4 | $112.15 | Aug 29, 2016 | M | 159 | D | — | Jan 17, 2022 | Common Stock | 159 | 499 | D |
| Employee Stock Option (right to buy) HoldingF4 | $129.36 | Aug 29, 2016 | M | 529 | D | — | Jan 11, 2023 | Common Stock | 529 | 4,861 | 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 $277.69 - $278.36. 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 common stock number referred in Table I is an aggregate number and represents 9,727 shares of common stock and 7,060 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 2016 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 2017 and will be reported at the time of vesting.
- F4These options are fully vested.