SEC Form 4 · accession 0001209191-16-154395

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

Dec 7, 2016

Accepted (ET)

Dec 9, 2016 · 4:16 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
Common Stock^F1	Dec 7, 2016	M	2,245	$22.43	A	155,140	D
Common Stock^F1	Dec 7, 2016	M	25,000	$25.87	A	180,140	D
Common Stock^F1,F2,F3	Dec 7, 2016	S	27,245	$59.00	D	152,895	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) Holding^F4,F5	$22.43	Dec 7, 2016	M	2,245	D	—	Jan 17, 2022	Common Stock	2,245	4,450	D
Employee Stock Option (right to buy) Holding^F4,F5	$25.87	Dec 7, 2016	M	25,000	D	—	Jan 11, 2023	Common Stock	25,000	31,950	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 common stock number referred in Table I is an aggregate number and represents 86,085 shares of common stock, 12,315 unvested restricted stock units and 54,495 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 2016 performance based restricted stock units and the corresponding number of shares of common stock to be issued pursuant to this award, will not be determined until February 2017, and will be reported at that time.
F3On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1 (the "Stock Split"), resulting in the reporting person's ownership of four additional shares of common stock for each share of common stock owned as of that date, four additional units of restricted stock ("RSU") for each RSU owned as of that date and four additional units of unvested performance based restricted stock ("PSU") for each PSU owned as of that date, as reflected in the totals listed on this Form 4.
F4As a result of the Stock Split, the option exercise price and the number of options previously reported, were adjusted accordingly.
F5These options are fully vested.