SEC Form 4 · accession 0001209191-19-006015

Intercontinental Exchange, Inc. · ICE

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

Reporting owner

Andrew J Surdykowski

Officer — General Counsel

Period of report

Jan 28, 2019

Accepted (ET)

Jan 30, 2019 · 4:39 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	Nature of ownership
Common Stock^F1,F2	Jan 28, 2019	M	2,500	$21.20	A	41,219	D
Common Stock^F1,F3,F4	Jan 28, 2019	S	2,500	$75.4235	D	38,719	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^F5	$21.20	Jan 28, 2019	M	2,500	D	—	Dec 10, 2019	Common Stock	2,500	2,490	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.
F2Amount of securities beneficially owned includes 199 shares acquired under the Intercontinental Exchange, Inc. Employee Stock Purchase Plan on December 31, 2018.
F3The price range for the aggregate amount sold by the direct holder is $75.11 - $75.67. 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.
F4The common stock number referred in Table I is an aggregate number and represents 31,745 shares of common stock and 6,974 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.
F5These options are fully vested.