Intercontinental Exchange, Inc. — Director's Dealing 2020

Dec 1, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Intercontinental Exchange, Inc. (ICE)
CIK: 0001571949
Period of Report: 2020-11-27

Reporting Person: Goone David S (Chief Strategic Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-11-27	Common Stock	M	5514	$41.37	Acquired	186243	Direct
2020-11-27	Common Stock	S	5514	$105.0044	Disposed	180729	Direct
2020-11-30	Common Stock	M	17281	$41.37	Acquired	198010	Direct
2020-11-30	Common Stock	S	17281	$105.0463	Disposed	180729	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-11-27	Employee Stock Option (right to buy) Holding	$41.37	M	5514	Disposed	2024-01-17	Common Stock (5514)	Direct
2020-11-30	Employee Stock Option (right to buy) Holding	$41.37	M	17281	Disposed	2024-01-17	Common Stock (17281)	Direct

Footnotes

F1: 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.

F2: The price range for the aggregate amount sold by the direct holder is $105.00 - $105.03. 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.

F3: The price range for the aggregate amount sold by the direct holder is $105.00 - $105.15. 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.

F4: The common stock number referred in Table I is an aggregate number and represents 160,197 shares of common stock and 20,532 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 2020 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 2021 and will be reported at the time of vesting. The satisfaction of the 2018, 2019 and 2020 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 2021, February 2022 and February 2023, respectively, and will be reported at the time of vesting.

F5: These options are fully vested.