ICE

SEC source: 0001209191-17-034657 · doc4.xml · nonDerivative · entry 1

SALERNO FREDERIC V · CIK 0001180138 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,950

F1 · shares: Represents restricted stock units. This award of restricted stock units vests on the one-year anniversary of the award date and may be settled only by delivery of shares of the Issuer's common stock, par value $0.01 per share.

F2 · balance_after: On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1 (the "Stock Split"), resulting in the reporting 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.

F3 · balance_after: The common stock number referred in Table I is an aggregate number and represents 7,000 shares of common stock and 2,950 restricted stock units of the Issuer. The restricted stock units vest on the one-year anniversary of the grant date, which is May 19, 2018.

SEC source: 0001209191-17-034641 · doc4.xml · nonDerivative · entry 1

Farooqui Duriya M · CIK 0001699994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,950

F1 · shares: Represents restricted stock units. This award of restricted stock units vests on the one-year anniversary of the award date and may be settled only by delivery of shares of the Issuer's common stock, par value $0.01 per share.

SEC source: 0001209191-17-034649 · doc4.xml · nonDerivative · entry 1

Hague William Jefferson · CIK 0001652762 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,151

F1 · shares: Represents restricted stock units. This award of restricted stock units vests on the one-year anniversary of the award date and may be settled only by delivery of shares of the Issuer's common stock, par value $0.01 per share. Of the 3,371 restricted stock units awarded, 2,950 were awarded as compensation for service on the Issuer's board and 421 were awarded as compensation for service on the board of Issuer's subsidiary, ICE Futures Europe Limited.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 6,780 shares of common stock and 3,371 restricted stock units of the Issuer. The restricted stock units vest on the one-year anniversary of the grant date, which is May 19, 2018.

SEC source: 0001209191-17-034636 · doc4.xml · nonDerivative · entry 1

Cairns Ann · CIK 0001528304 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,371

F1 · shares: Represents restricted stock units. This award of restricted stock units vests on the one-year anniversary of the award date and may be settled only by delivery of shares of the Issuer's common stock, par value $0.01 per share. Of the 3,371 restricted stock units awarded, 2,950 were awarded as compensation for service on the Issuer's board and 421 were awarded as compensation for service on the board of Issuer's subsidiary, ICE Clear Europe Limited.

SEC source: 0001209191-17-034660 · doc4.xml · nonDerivative · entry 1

SPRIESER JUDITH A · CIK 0001206994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,696

F1 · shares: Represents restricted stock units. This award of restricted stock units vests on the one-year anniversary of the award date and may be settled only by delivery of shares of the Issuer's common stock, par value $0.01 per share. Of the 3,371 restricted stock units awarded, 2,950 were awarded as compensation for service on the Issuer's board and 421 were awarded as compensation for service on the board of Issuer's subsidiary, ICE Clear Credit LLC.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 28,325 shares of common stock and 3,371 restricted stock units of the Issuer. The restricted stock units vest on the one-year anniversary of the grant date, which is May 19, 2018.

SEC source: 0001209191-17-034651 · doc4.xml · nonDerivative · entry 1

Hatfield Fred W · CIK 0001399286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,166

F1 · shares: Represents restricted stock units. This award of restricted stock units vests on the one-year anniversary of the award date and may be settled only by delivery of shares of the Issuer's common stock, par value $0.01 per share. Of the 3,371 restricted stock units awarded, 2,950 were awarded as compensation for service on the Issuer's board and 421 were awarded as compensation for service on the board of Issuer's subsidiary, ICE Clear Credit, LLC.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 29,795 shares of common stock and 3,371 restricted stock units of the Issuer. The restricted stock units vest on the one-year anniversary of the grant date, which is May 19, 2018.

SEC source: 0001209191-17-034646 · doc4.xml · nonDerivative · entry 1

Forneri Jean Marc · CIK 0001343872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,300

F1 · shares: Represents restricted stock units. This award of restricted stock units vests on the one-year anniversary of the award date and may be settled only by delivery of shares of the Issuer's common stock, par value $0.01 per share.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 47,350 shares of common stock and 2,950 restricted stock units of the Issuer. The restricted stock units vest on the one-year anniversary of the grant date, which is May 19, 2018.

SEC source: 0001209191-17-033930 · doc4.xml · nonDerivative · entry 1

Forneri Jean Marc · CIK 0001343872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,350

F1 · price: The price range for the aggregate amount sold by the direct holder is $58.2632 - $58.29. 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.

SEC source: 0001209191-17-033928 · doc4.xml · nonDerivative · entry 1

CRISP CHARLES R · CIK 0001015825 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,875

F1 · shares: The sales 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.

F2 · price: The price range for the aggregate amount sold by the direct holder is $58.21 - $58.83. 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.

F3 · balance_after: On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1 (the "Stock Split"), resulting in the reporting 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.

SEC source: 0001209191-17-033145 · doc4.xml · nonDerivative · entry 1

Hague William Jefferson · CIK 0001652762 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,780

F1 · shares: Represents shares of common stock underlying vested restricted stock units that are being withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1 (the "Stock Split"), resulting in the reporting 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.

SEC source: 0001209191-17-033148 · doc4.xml · nonDerivative · entry 1

Hatfield Fred W · CIK 0001399286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,795

F1 · shares: The sales 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.

F2 · price: The price range for the aggregate amount sold by the direct holder is $58.76 - $59.06. 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.

F3 · balance_after: On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1 (the "Stock Split"), resulting in the reporting 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.

SEC source: 0001209191-17-030002 · doc4.xml · derivative · entry 5

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,655

Underlying: Common Stock · 11,910 shares

Expires 2022-01-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: These options are fully vested.

SEC source: 0001209191-17-030002 · doc4.xml · derivative · entry 4

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,090 shares

Expires 2021-01-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: These options are fully vested.

SEC source: 0001209191-17-030002 · doc4.xml · nonDerivative · entry 3

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,971

F1 · shares: 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.

F2 · price: The price range for the aggregate amount sold by the direct holder is $60.25 - $60.73. 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.

F3 · balance_after: The common stock number referred in Table I is an aggregate number and represents 279,861 shares of common stock and 90,110 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-030002 · doc4.xml · nonDerivative · entry 2

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,971

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001209191-17-030002 · doc4.xml · nonDerivative · entry 1

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,061

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001209191-17-026096 · doc4.xml · derivative · entry 3

Farley Thomas W · CIK 0001390563 · President, NYSE Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,800 shares

Expires 2017-12-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: These options are fully vested.

SEC source: 0001209191-17-026096 · doc4.xml · nonDerivative · entry 2

Farley Thomas W · CIK 0001390563 · President, NYSE Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,598

F1 · shares: 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.

F2 · price: The price range for the aggregate amount sold by the direct holder is $59.12 - $59.59. 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.

F3 · balance_after: The common stock number referred in Table I is an aggregate number and represents 35,545 shares of common stock and 46,053 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-026096 · doc4.xml · nonDerivative · entry 1

Farley Thomas W · CIK 0001390563 · President, NYSE Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,798

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001209191-17-025685 · doc4.xml · derivative · entry 4

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,090

Underlying: Common Stock · 15,000 shares

Expires 2021-01-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: These options are fully vested.

SEC source: 0001209191-17-025685 · doc4.xml · nonDerivative · entry 3

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,971

F1 · shares: 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.

F3 · price: The price range for the aggregate amount sold by the direct holder is $59.82 - $59.83. 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.

F4 · balance_after: The common stock number referred in Table I is an aggregate number and represents 279,861 shares of common stock and 90,110 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-025685 · doc4.xml · nonDerivative · entry 2

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,271

F2 · price: The price range for the aggregate amount sold by the direct holder is $58.80 - $59.81. 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.

SEC source: 0001209191-17-025685 · doc4.xml · nonDerivative · entry 1

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,971

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001209191-17-021370 · doc4.xml · derivative · entry 3

Goone David S · CIK 0001343869 · Chief Strategic Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,480

Underlying: Common Stock · 27,470 shares

Expires 2023-01-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: These options are fully vested.

SEC source: 0001209191-17-021370 · doc4.xml · nonDerivative · entry 2

Goone David S · CIK 0001343869 · Chief Strategic Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,902

F1 · shares: 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.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 93,533 shares of common stock, 12,315 unvested restricted stock units, and and 50,054 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-021370 · doc4.xml · nonDerivative · entry 1

Goone David S · CIK 0001343869 · Chief Strategic Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,657

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: 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.

SEC source: 0001209191-17-020505 · doc4.xml · nonDerivative · entry 1

SPRIESER JUDITH A · CIK 0001206994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,325

F1 · shares: The sales 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.

F2 · price: 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 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.

F3 · balance_after: On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1 (the "Stock Split"), resulting in the reporting 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.

F4 · balance_after: The common stock number referred in Table I is an aggregate number and represents 24,480 shares of common stock and 3,845 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.

SEC source: 0001209191-17-016626 · doc4.xml · nonDerivative · entry 1

Mathison Dean S · CIK 0001591872 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,448

F1 · shares: The sales 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.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 7,347 shares of common stock, 3,060 unvested restricted stock units, and and 5,041 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-015937 · doc4.xml · nonDerivative · entry 1

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,971

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 78,045 shares, 26,015 shares were issued on February 27, 2017, of which 12,535 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 279,861 shares of common stock and 90,110 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-015936 · doc4.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · General Counsel & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,998

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 26,010 shares, 8,670 shares were issued on February 27, 2017, of which 4,174 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 72,965 shares of common stock and 30,033 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-015934 · doc4.xml · nonDerivative · entry 1

Mathison Dean S · CIK 0001591872 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,753

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 5,200 shares, 1,735 shares were issued on February 27, 2017, of which 579 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 9,652 shares of common stock, 3,060 unvested restricted stock units, and and 5,041 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-015933 · doc4.xml · nonDerivative · entry 2

Sprecher Jeffrey C · CIK 0001343882 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 127,385

F4 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 13,005 shares, 4,335 shares were issued on February 27, 2017, of which 2,104 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F5 · balance_after: The common stock number referred in Table I is an aggregate number and represents 112,366 shares of common stock and 15,019 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

F6 · balance_after: As previously reported, the reporting person also indirectly owns 3,791,705 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person also beneficially owns shares directly.

SEC source: 0001209191-17-015933 · doc4.xml · nonDerivative · entry 1

Sprecher Jeffrey C · CIK 0001343882 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,641,236

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 121,405 shares, 40,465 shares were issued on February 27, 2017, of which 19,727 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 1,501,068 shares of common stock and 140,168 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

F3 · balance_after: As previously reported, the reporting person also indirectly owns 3,791,705 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership.

SEC source: 0001209191-17-015931 · doc4.xml · nonDerivative · entry 1

Hill Scott A · CIK 0001397778 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,745

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 52,025 shares, 17,340 shares were issued on February 27, 2017, of which 8,424 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 169,676 shares of common stock and 60,069 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-015930 · doc4.xml · nonDerivative · entry 1

Goone David S · CIK 0001343869 · Chief Strategic Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,187

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 30,345 shares, 10,115 shares were issued on February 27, 2017, of which 4,699 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 110,818 shares of common stock, 12,315 unvested restricted stock units, and and 50,054 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-015928 · doc4.xml · nonDerivative · entry 1

Farley Thomas W · CIK 0001390563 · President, NYSE Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,998

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on February 27, 2014. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2014 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 27, 2015, 1/3 on February 27, 2016 and 1/3 on February 27, 2017). Of the 34,685 shares, 11,565 shares were issued on February 27, 2017, of which 6,456 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 43,945 shares of common stock and 46,053 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-014391 · doc4.xml · nonDerivative · entry 2

Farley Thomas W · CIK 0001390563 · President, NYSE Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,454

F1 · price: The price range for the aggregate amount sold by the direct holder is $58.01 - $58.075. 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.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 38,836 shares of common stock and 57,618 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-014391 · doc4.xml · derivative · entry 3

Farley Thomas W · CIK 0001390563 · President, NYSE Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,120 shares

Expires 2017-02-22

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: These options are fully vested.

SEC source: 0001209191-17-014391 · doc4.xml · nonDerivative · entry 1

Farley Thomas W · CIK 0001390563 · President, NYSE Group

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,574

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-17-014390 · doc4.xml · nonDerivative · entry 2

Sprecher Jeffrey C · CIK 0001343882 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 129,489

F1 · shares: The sales reported in this Form 4 were effected pursuant to a previously announced, pre-arranged trading plan established in accordance with Rule 10b5-1 of the Securities Act of 1934, as amended.

F2 · price: The price range for the aggregate amount sold by the direct holder is $57.51 - $57.98. 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.

F5 · balance_after: The common stock number referred in Table I is an aggregate number and represents 110,135 shares of common stock and 19,354 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

F6 · balance_after: As previously reported, the reporting person also indirectly owns 3,791,705 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person also beneficially owns shares directly.

SEC source: 0001209191-17-014390 · doc4.xml · nonDerivative · entry 1

Sprecher Jeffrey C · CIK 0001343882 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,660,963

F1 · shares: The sales reported in this Form 4 were effected pursuant to a previously announced, pre-arranged trading plan established in accordance with Rule 10b5-1 of the Securities Act of 1934, as amended.

F2 · price: The price range for the aggregate amount sold by the direct holder is $57.51 - $57.98. 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.

F3 · balance_after: The common stock number referred in Table I is an aggregate number and represents 1,480,330 shares of common stock and 180,633 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

F4 · balance_after: As previously reported, the reporting person also indirectly owns 3,791,705 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership.

SEC source: 0001209191-17-013850 · doc4.xml · derivative · entry 2

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,510

Underlying: Common Stock · 2,850 shares

Expires 2024-01-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: These options are fully vested.

SEC source: 0001209191-17-013850 · doc4.xml · nonDerivative · entry 1

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 382,506

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The common stock number referred in Table I is an aggregate number and represents 266,381 shares of common stock and 116,125 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-013237 · doc4.xml · nonDerivative · entry 1

Vice Charles A · CIK 0001343884 · President&Chief Op. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,656

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 20, 2015. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2015 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 119,840 shares, 39,945 shares were issued on February 17, 2017, of which 19,154 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 39,950 shares are scheduled to be issued on the remaining vesting date and taxes for this future issuance will be withheld and reported at the time the shares are issued.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 263,531 shares of common stock and 116,125 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-013232 · doc4.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · General Counsel & Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,172

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 20, 2015. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2015 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 39,945 shares, 13,315 shares were issued on February 17, 2017, of which 6,405 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 13,315 shares are scheduled to be issued on the remaining vesting date and taxes for this future issuance will be withheld and reported at the time the shares are issued.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 68,469 shares of common stock and 38,703 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-013226 · doc4.xml · nonDerivative · entry 1

Mathison Dean S · CIK 0001591872 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,332

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 20, 2015. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2015 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 7,980 shares, 2,655 shares were issued on February 17, 2017, of which 886 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 2,665 shares are scheduled to be issued on the remaining vesting date and taxes for this future issuance will be withheld and reported at the time the shares are issued.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 8,496 shares of common stock, 3,060 unvested restricted stock units, and and 6,776 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-013221 · doc4.xml · nonDerivative · entry 2

Sprecher Jeffrey C · CIK 0001343882 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse

Disclosed balance after: 135,516

F4 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 20, 2015. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2015 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 19,965 shares, 6,650 shares were issued on February 17, 2017, of which 3,227 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 6,660 shares are scheduled to be issued on the remaining vesting date and taxes for this future issuance will be withheld and reported at the time the shares are issued.

F5 · balance_after: The common stock number referred in Table I is an aggregate number and represents 116,162 shares of common stock and 19,354 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

F6 · balance_after: As previously reported, the reporting person also indirectly owns 3,791,705 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person also beneficially owns shares directly.

SEC source: 0001209191-17-013221 · doc4.xml · nonDerivative · entry 1

Sprecher Jeffrey C · CIK 0001343882 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,728,310

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 20, 2015. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2015 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 186,425 shares, 62,140 shares were issued on February 17, 2017, of which 30,273 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 62,140 shares are scheduled to be issued on the remaining vesting date and taxes for this future issuance will be withheld and reported at the time the shares are issued.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 1,547,677 shares of common stock and 180,633 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

F3 · balance_after: As previously reported, the reporting person also indirectly owns 3,791,705 shares that are beneficially owned directly by CPEX. The reporting person beneficially owns 100% of the equity interest in CPEX. Additionally, as previously reported, the reporting person indirectly owns shares that are beneficially owned directly by the reporting person's spouse for which the reporting person disclaims beneficial ownership.

SEC source: 0001209191-17-013217 · doc4.xml · nonDerivative · entry 1

Hill Scott A · CIK 0001397778 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,169

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 20, 2015. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2015 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 79,890 shares, 26,630 shares were issued on February 17, 2017, of which 12,976 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 26,630 shares are scheduled to be issued on the remaining vesting date and taxes for this future issuance will be withheld and reported at the time the shares are issued.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 160,760 shares of common stock and 77,409 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.

SEC source: 0001209191-17-013214 · doc4.xml · nonDerivative · entry 1

Goone David S · CIK 0001343869 · Chief Strategic Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,886

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 20, 2015. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2015 earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance versus pre-established targets. The restricted stock units vest over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 66,575 shares, 22,190 shares were issued on February 17, 2017, of which 10,313 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 22,190 shares are scheduled to be issued on the remaining vesting date and taxes for this future issuance will be withheld and reported at the time the shares are issued.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 105,402 shares of common stock, 12,315 shares unvested restricted stock units, and 60,169 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 2017 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 2018 and will be reported at the time of vesting. The satisfaction of the 2017 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 and will be reported at the time of vesting.