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Download Intercontinental Exchange, Inc. (Form: 4, Received: 03/14
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Transcript
FORM 4 OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response... 0.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 1. Name and Address of Reporting Person * 2. Issuer Name and Ticker or Trading Symbol 5. Relationship of Reporting Person(s) to Issuer (Check all applicable) SPRIESER JUDITH A Intercontinental Exchange, Inc. [ ICE ] __ X __ Director _____ 10% Owner _____ Officer (give title below) below) (Last) (First) _____ Other (specify 3. Date of Earliest Transaction (MM/DD/YYYY) (Middle) 5660 NEW NORTHSIDE DRIVE (Street) 3/10/2017 4. If Amendment, Date Original Filed 6. Individual or Joint/Group Filing (Check (MM/DD/YYYY) Applicable Line) ATLANTA, GA 30328 (City) (State) _ X _ Form filed by One Reporting Person ___ Form filed by More than One Reporting Person (Zip) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned 1.Title of Security (Instr. 3) 2. Trans. Date 2A. Deemed 3. Trans. Execution Code Date, if any (Instr. 8) Code Common Stock 3/10/2017 S 4. Securities Acquired (A) 5. Amount of Securities or Disposed of (D) Beneficially Owned (Instr. 3, 4 and 5) Following Reported Transaction(s) (Instr. 3 and 4) (A) or V Amount (D) Price $60.4353 (1) 1900 28325 (3) (4) D (2) 6. Ownership Form: Direct 7. Nature of Indirect (D) or Indirect (I) (Instr. 4) Beneficial Ownership (Instr. 4) D Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) 1. Title of Derivate Security (Instr. 3) 2. Conversion 3. Trans. 3A. Deemed 4. Trans. or Exercise Date Execution Code Price of Date, if any (Instr. 8) Derivative Security 5. Number of 6. Date Exercisable and Derivative Expiration Date Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) Date Exercisable Code V (A) (D) Expiration Date 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) Title 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4) Amount or Number of Shares Explanation of Responses: The sales reported in this Form 4 were effected pursuant to a pre-arranged trading plan established in accordance with Rule 10b5-1 of (1) the Securities Act of 1934, as amended. The price range for the aggregate amount sold by the direct holder is $59.98 - $60.79. The Issuer will upon request by the Staff of the (2) 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. On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1 (the "Stock Split"), resulting in the reporting (3) person's ownership of four additional shares of common stock for each share of common stock owned as of that date, as reflected in the totals listed on this Form 4. The total number of shares of common stock was adjusted by five shares to account for a rounding error and the stock split. The common stock number referred in Table I is an aggregate number and represents 24,480 shares of common stock and 3,845 (4) restricted stock units of the Issuer. The restricted stock units vest on the one-year anniversary of the grant date, which is May 13, 2017. Reporting Owners Reporting Owner Name / Address Director SPRIESER JUDITH A 5660 NEW NORTHSIDE DRIVE ATLANTA, GA 30328 Signatures /s/Andrew J. Surdykowski, Attorney-in-fact ** Signature of Reporting Person Relationships 10% Owner Officer Other X 3/14/2017 Date Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. If the form is filed by more than one reporting person, see Instruction 4(b)(v). * Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). ** Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.