Form 4 for ICE Intercontinental Exchange
Accepted 2023-12-28 00:00:00 ET · period of report 2023-12-26 · accession 0001209191-23-059902 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-12-28 | 2023-12-26 | ICE | Surdykowski Andrew J | GC | M - OptEx | $51.55 | +2,000 | 44.9K | +5% | +$103.1K |
| D | 2023-12-28 | 2023-12-26 | ICE | Surdykowski Andrew J | GC | S - Sale+OE | $126.00 | -2,364 | 43.5K | -5% | -$297.9K |
| DM | 2023-12-28 | 2023-12-26 | ICE | Surdykowski Andrew J | GC | M - OptEx | $0.00 | -2,000 | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-12-26 | M | A | 500 | $41.59 | 44,357 | D | — | — | (F1) This transaction was effected pursuant to a Rule 10b5-1 trading plan which was approved and became effective as of June 8, 2022. |
| 2 | Common | Common Stock | 2023-12-26 | S | D | 2,364 | $126.00 | 43,493 | D | — | — | (F1) This transaction was effected pursuant to a Rule 10b5-1 trading plan which was approved and became effective as of June 8, 2022. (F3) The satisfaction of the performance based restricted stock units granted as Deal Incentive Awards and the corresponding number of shares to be issued pursuant to these awards, will not be determined until December 2026, December 2027 and December 2028 and will be subject to additional time-based vesting conditions and, if applicable, a subsequent one-year holding period. (F2) The common stock number referred in Table I is an aggregate number and represents 38,593 shares of common stock and 4,900 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 2023 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 2024 and will be reported at the time of vesting. The satisfaction of the 2021, 2022 and 2023 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 2024, February 2025 and February 2026, respectively, and will be reported at the time of vesting. |
| 3 | Common | Common Stock | 2023-12-26 | M | A | 1,000 | $57.31 | 45,857 | D | — | — | (F1) This transaction was effected pursuant to a Rule 10b5-1 trading plan which was approved and became effective as of June 8, 2022. |
| 4 | Common | Common Stock | 2023-12-26 | M | A | 500 | $50.01 | 44,857 | D | — | — | (F1) This transaction was effected pursuant to a Rule 10b5-1 trading plan which was approved and became effective as of June 8, 2022. |
| 5 | Derivative | Employee Stock Option (right to buy) Holding | 2023-12-26 | M | D | 1,000 | $0.00 | 9,439 | D | $57.31 · — to 2027-01-18 | 1,000 Common Stock | (F4) These options are fully vested. |
| 6 | Derivative | Employee Stock Option (right to buy) Holding | 2023-12-26 | M | D | 500 | $0.00 | 10,080 | D | $50.01 · — to 2026-01-14 | 500 Common Stock | (F4) These options are fully vested. |
| 7 | Derivative | Employee Stock Option (right to buy) Holding | 2023-12-26 | M | D | 500 | $0.00 | 0 | D | $41.59 · — to 2025-01-20 | 500 Common Stock | (F4) These options are fully vested. |