Home > Insider Trading > Filing (0001209191-21-036548)

Filing Details

Accession Number:: 0001209191-21-036548
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-05-28 16:32:40
Reporting Period:: 2021-05-26

Accepted Time:: 2021-05-28 16:32:40
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1571949	Intercontinental Exchange Inc.	ICE	()	4

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1343882	C Jeffrey Sprecher	5660 New Northside Drive Atlanta GA 30328	Chief Executive Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2021-05-26	36,955	$22.43	1,402,345	No	4	M	Direct
Common Stock	Acquisiton	2021-05-26	52,582	$25.87	1,454,927	No	4	M	Direct
Common Stock	Disposition	2021-05-26	58,200	$112.54	1,396,727	No	4	S	Direct
Common Stock	Disposition	2021-05-26	50,837	$113.37	1,345,890	No	4	S	Direct
Common Stock	Disposition	2021-05-26	33,285	$112.55	3,178,420	No	4	S	Indirect	CPEX
Common Stock	Disposition	2021-05-26	26,715	$113.40	3,151,705	No	4	S	Indirect	CPEX

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	S	Indirect	CPEX
No	4	S	Indirect	CPEX

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Employee Stock Option (right to buy) Holding	Disposition	2021-05-26	36,955	$0.00	36,955	$22.43
Common Stock	Employee Stock Option (right to buy) Holding	Disposition	2021-05-26	52,582	$0.00	52,582	$25.87

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
36,955		2022-01-17	No	4	M	Direct
52,582		2023-01-11	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	81,570	Indirect	By spouse

Footnotes

The 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.
The price range for the aggregate amount sold by the direct holder is $111.96 - $112.95. 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.
The price range for the aggregate amount sold by the direct holder is $112.96 - $113.72. 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.
The common stock number referred in Table I is an aggregate number and represents 1,274,378 shares of common stock and 71,512 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 2021 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 2022 and will be reported at the time of vesting. The satisfaction of the 2019, 2020 and 2021 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 2022, February 2023 and February 2024, respectively, and will be reported at the time of vesting.
The price range for the aggregate amount sold by the direct holder is $112.00 - $112.99. 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.
The price range for the aggregate amount sold by the direct holder is $113.00 - $113.79. 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.
These shares are beneficially owned directly by Continental Power Exchange, Inc. ("CPEX"). Mr. Sprecher beneficially owns 100% of the equity interest in CPEX directly.
As previously reported, the reporting person also indirectly owns 81,570 shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership.
These options are fully vested.