Intercontinental Exchange, Inc. — Director's Dealing 2020

Feb 18, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Intercontinental Exchange, Inc. (ICE)
CIK: 0001571949
Period of Report: 2020-02-14

Reporting Person: Sprecher Jeffrey C (Director, Chief Executive Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-14	Common Stock	M	15450	$25.87	Acquired	93784	Indirect
2020-02-14	Common Stock	M	20725	$41.37	Acquired	114509	Indirect
2020-02-14	Common Stock	M	22895	$41.59	Acquired	137404	Indirect
2020-02-14	Common Stock	M	18980	$50.01	Acquired	156384	Indirect
2020-02-14	Common Stock	M	19065	$57.31	Acquired	175449	Indirect
2020-02-14	Common Stock	M	7796	$77.58	Acquired	183245	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-02-14	Employee Stock Option (right to buy) Holding	$25.87	M	15450	Disposed	2023-01-11	Common Stock (15450)	Indirect
2020-02-14	Employee Stock Option (right to buy) Holding	$41.37	M	20725	Disposed	2024-01-17	Common Stock (20725)	Indirect
2020-02-14	Employee Stock Option (right to buy) Holding	$41.59	M	22895	Disposed	2025-01-20	Common Stock (22895)	Indirect
2020-02-14	Employee Stock Option (right to buy) Holding	$50.01	M	18980	Disposed	2026-01-14	Common Stock (18980)	Indirect
2020-02-14	Employee Stock Option (right to buy) Holding	$57.31	M	19065	Disposed	2027-01-18	Common Stock (19065)	Indirect
2020-02-14	Employee Stock Option (right to buy) Holding	$77.58	M	7796	Disposed	2028-09-19	Common Stock (7796)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	3571705	Indirect
Common Stock	1403638	Direct

Footnotes

F1: As previously reported, the reporting person also indirectly owns 183,245 shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership.

F2: These shares are beneficially owned directly by Continental Power Exchange, Inc. ("CPEX"). Mr. Sprecher beneficially owns 100% of the equity interest in CPEX directly.

F3: The common stock number referred in Table I is an aggregate number and represents 1,330,083 shares of common stock and 73,555 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 2019 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 2020 and will be reported at the time of vesting. The satisfaction of the 2017, 2018 and 2019 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, February 2021 and February 2022, respectively, and will be reported at the time of vesting.

F4: These options are fully vested.

F5: Any remaining unvested stock options will be forfeited after February 18, 2020 due to the Reporting Person's spouse's departure from Intercontinental Exchange, Inc. on December 20, 2019.