0001209191-23-032197.txt : 20230525 0001209191-23-032197.hdr.sgml : 20230525 20230525164636 ACCESSION NUMBER: 0001209191-23-032197 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230523 FILED AS OF DATE: 20230525 DATE AS OF CHANGE: 20230525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sprecher Jeffrey C CENTRAL INDEX KEY: 0001343882 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36198 FILM NUMBER: 23961559 MAIL ADDRESS: STREET 1: 2100 RIVEREDGE PARKWAY STREET 2: SUITE 500 CITY: ATLANTA STATE: GA ZIP: 30308 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Intercontinental Exchange, Inc. CENTRAL INDEX KEY: 0001571949 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5660 NEW NORTHSIDE DRIVE, STREET 2: THIRD FLOOR CITY: ATLANTA STATE: GA ZIP: 30328 BUSINESS PHONE: 770-857-4700 MAIL ADDRESS: STREET 1: 5660 NEW NORTHSIDE DRIVE, STREET 2: THIRD FLOOR CITY: ATLANTA STATE: GA ZIP: 30328 FORMER COMPANY: FORMER CONFORMED NAME: IntercontinentalExchange Group, Inc. DATE OF NAME CHANGE: 20130313 FORMER COMPANY: FORMER CONFORMED NAME: Intercontinental Exchange Group, Inc. DATE OF NAME CHANGE: 20130312 4 1 doc4.xml FORM 4 SUBMISSION X0407 4 2023-05-23 0 0001571949 Intercontinental Exchange, Inc. ICE 0001343882 Sprecher Jeffrey C 5660 NEW NORTHSIDE DRIVE ATLANTA GA 30328 1 1 0 0 Chief Executive Officer 1 Common Stock 2023-05-23 4 M 0 70442 41.59 A 1273546 D Common Stock 2023-05-23 4 S 0 82878 107.8732 D 1190668 D Common Stock 2023-05-23 4 S 0 2583 108.4129 D 1188085 D Common Stock 2023-05-23 4 S 0 29303 107.8804 D 2912402 I CPEX Common Stock 2023-05-23 4 S 0 697 108.4277 D 2911705 I CPEX Common Stock 81570 I By spouse Employee Stock Option (right to buy) Holding 41.59 2023-05-23 4 M 0 70442 0.00 D 2025-01-20 Common Stock 70442 70442 D The price range for the aggregate amount sold by the direct holder is $107.30 - $108.29. 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 $108.30 - $108.64. 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 1,146,700 shares of common stock and 41,385 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 2023 PSUs 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 2024 and will be reported at the time of vesting. The satisfaction of the 2021, 2022 and 2023 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 2024, February 2025 and February 2026, respectively, and will be reported at the time of vesting. The price range for the aggregate amount sold by the direct holder is $107.32 - $108.31. 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 $108.32 - $108.64. 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. As previously reported, the reporting person also indirectly owns 2,911,705 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership. 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. /s/ Octavia N. Spencer, Attorney-in-fact 2023-05-25