SEC Form 4 · accession 0001209191-18-036689
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
Jun 7, 2018
Accepted (ET)
Jun 8, 2018 · 4:27 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 Stock | Jun 7, 2018 | M | 1,110 | $21.20 | A | 159,570 | D | |
| Common StockF1 | Jun 7, 2018 | M | 5,565 | $22.50 | A | 165,135 | 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 | $21.20 | Jun 7, 2018 | M | 1,110 | D | — | Dec 10, 2019 | Common Stock | 1,110 | 0 | D |
| Employee Stock Option (right to buy) HoldingF2 | $22.50 | Jun 7, 2018 | M | 5,565 | D | — | Jan 11, 2021 | Common Stock | 5,565 | 0 | D |
Explanation of responses
- F1The common stock number referred in Table I is an aggregate number and represents 132,009 shares of common stock and 33,126 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 units vest each year. The satisfaction of the 2018 performance based restricted units tied to earnings before interest, taxes, depreciation, and amortization, ("EBITDA") and the corresponding number of shares to be issued pursuant to these awards, will not be determined until February 2019 and will be reported at the time of vesting. The satisfaction of the 2017 and 2018 total shareholder return performance based restricted stock units and the corresponding number of shares to be issued pursuant to these awards, will not be determined until February 2020 and February 2021, respectively, and will be reported at the time of vesting.
- F2These options are fully vested.