SEC Form 4 · accession 0001209191-18-042331
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
Jul 9, 2018
Accepted (ET)
Jul 11, 2018 · 4:26 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 | Jul 9, 2018 | S | 6,000 | $74.5044 | D | 54,755 | D | |
| Common StockF3,F4 | Jul 11, 2018 | G | 1,365 | $0.00 | D | 53,390 | D |
Table II — derivative securities
No Table II lines on this filing.
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 $74.50 - $74.51. 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.
- F3This transaction involved a gift of 1,365 shares of the issuer's common stock by the reporting person to a philanthropic organization.
- F4The common stock number referred in Table I is an aggregate number and represents 34,561 shares of common stock and 18,829 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 2017 total shareholder return performance based restricted stock units and the corresponding number of shares to be issued pursuant to this award, will not be determined until February 2020, and will be reported at the time of vesting.