SEC Form 4 · accession 0001209191-16-145630
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 10, 2016
Accepted (ET)
Oct 11, 2016 · 5:49 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 | Oct 10, 2016 | F | 1,147 | $268.39 | D | 30,579 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock underlying vested restricted stock that are being withheld to satisfy payment of the Issuer's tax withholding obligation upon the vesting of the restricted stock units. The shares of restricted stock units were granted to the filing person on October 9, 2014. One-third of the restricted stock units vest each year over a three year period from 2015-2017. The remaining 2,463 shares are scheduled to be issued on October 9, 2017 and taxes for this future issuance will be withheld at the time the shares are issued.
- F2The common stock number referred in Table I is an aggregate number and represents 17,217 shares of common stock, 2,463 unvested restricted stock units and 10,899 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 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.