SEC Form 4 · accession 0001209191-17-003855

Intercontinental Exchange, Inc. · ICE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

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.
• F2On 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 unvested restricted stock units ("RSU") for each RSU owned as of that date, and four additional units of unvested performance-based restricted stock units ("PSU") for each PSU owned as of that date, as reflected in the totals listed on this Form 4.
• F3The common stock number referred in Table I is an aggregate number and represents 6,245 shares of common stock, 4,265 unvested restricted stock units and 6,090 unvested performance based restricted stock units, for which the performance period has been satisfied. The 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 corresponding number of shares of common stock to be issued pursuant to that award will not be determined until February 2017 and will be reported at that time.