Download Intercontinental Exchange, Inc. (Form: 4, Received: 03/14

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.