FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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
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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) |
Sprecher Jeffrey C | Intercontinental Exchange, Inc. [ ICE ] | __X__ Director | _____ 10% Owner | ||||||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | ||||||||||||||||||||||||||||
__X__ Officer (give title below) _____ Other (specify below) | |||||||||||||||||||||||||||||||
5660 NEW NORTHSIDE DRIVE | 8/21/2019 | Chief Executive Officer | |||||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) | 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||||||||||||||||||||||||||
ATLANTA, GA 30328 | _X _ Form filed by One Reporting Person | ||||||||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form filed by More than One Reporting Person | ||||||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) or | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | ||||||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | |||||||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | |||||||||||||||||||||||||||
Direct (D) | Ownership | ||||||||||||||||||||||||||||||
or Indirect | (Instr. 4) | ||||||||||||||||||||||||||||||
(A) or | (I) (Instr. | ||||||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | ||||||||||||||||||||||||||
Common Stock | 8/21/2019 | S | 40000 (1) | D | $92.4123 (2) | 3631705 (3) | I | CPEX | |||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||||||||||||||||||
1. Title of Derivate | 2. | 3. Trans. | 3A. Deemed | 4. Trans. Code | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | ||||||||||||||||||||
Security | Conversion | Date | Execution | (Instr. 8) | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | ||||||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | Acquired (A) or | Derivative Security | Security | Securities | Form of | Beneficial | |||||||||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | |||||||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Owned | Security: | (Instr. 4) | |||||||||||||||||||||||||||
Security | Following | Direct (D) | |||||||||||||||||||||||||||||
Date | Expiration | Title | Amount or Number of | Reported | or Indirect | ||||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Shares | Transaction(s) | (I) (Instr. | |||||||||||||||||||||||
(Instr. 4) | 4) |
Explanation of Responses:
- 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.
- The price range for the aggregate amount sold by the direct holder is $91.99 - $92.73. 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.
- These shares are beneficially owned directly by Continental Power Exchange, Inc. ("CPEX"). Mr. Sprecher beneficially owns 100% of the equity interest in CPEX directly. Additionally, as previously reported, the reporting person also owns shares directly and indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership.
Reporting Owners
Reporting Owner Name / Address | Relationships | ||||||
Director | 10% Owner | Officer | Other | ||||
Sprecher Jeffrey C | |||||||
5660 NEW NORTHSIDE DRIVE | X | Chief Executive Officer | |||||
ATLANTA, GA 30328 | |||||||
Signatures | |||||||
/s/ Octavia N. Spencer, Attorney-in-fact | 8/22/2019 | ||||||
**Signature of Reporting Person | 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).
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Disclaimer
ICE - IntercontinentalExchange Inc. published this content on 22 August 2019 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 22 August 2019 20:52:04 UTC