Short Johnathan H

SEC source: 0001628280-24-023353 · wk-form4_1715733964.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,713,448

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.

SEC source: 0001628280-24-015907 · wk-form4_1712885574.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,730,000

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.

SEC source: 0001628280-24-014204 · wk-form4_1712014476.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,745,340

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.

SEC source: 0001628280-24-011038 · wk-form4_1710376505.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,757,271

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.

SEC source: 0001628280-24-008730 · wk-form4_1709605847.xml · nonDerivative · entry 2

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,767,689

F2 · shares: These shares represent RSUs granted under the Plan that were fully vested as of the grant date. Each unit represents a right to receive one share of the Issuer's common stock.

SEC source: 0001628280-24-008730 · wk-form4_1709605847.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,726,141

F1 · shares: These shares represent restricted stock units ("RSUs") granted under the Forge Global Holdings, Inc. 2022 Stock Option and Incentive Plan (the "Plan"). Each unit represents a right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued Service Relationship (as defined in the Plan) through each applicable vesting date, 1/36th of the RSUs shall vest in equal monthly installments starting on the one-month anniversary of January 1, 2024.

SEC source: 0001628280-24-004918 · wk-form4_1707962457.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,327,205

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.

SEC source: 0001628280-24-001732 · wk-form4_1705627690.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,330,300

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.

SEC source: 0001628280-23-042049 · wk-form4_1703029633.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,378,162

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.

SEC source: 0001628280-23-013341 · wf-form4_168256040848273.xml · nonDerivative · entry 3

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,405,724

F3 · shares: These shares represent RSUs granted under the Plan. Each unit represents a right to receive one share of the Issuer's Common Stock. Up to 100% of the RSUs shall vest (the "Eligible RSUs") based on the achievement of Company performance conditions over the Company's fiscal year ending December 31, 2023. 1/3rd of the Eligible RSUs shall vest no later than March 1, 2024 (the "Initial Vesting Date"), and the remaining Eligible RSUs shall vest over 24 equal monthly installments thereafter, subject to the Reporting Person continuing to be a service provider through each such date; provided that any monthly installments of Eligible RSUs pre-dating the Initial Vesting Date shall also vest on the Initial Vesting Date.

SEC source: 0001628280-23-013341 · wf-form4_168256040848273.xml · nonDerivative · entry 2

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,282,268

F2 · shares: These shares represent RSUs granted under the Forge Global Holdings, Inc. 2022 Stock Option and Incentive Plan (the "Plan"). Each unit represents a right to receive one share of the Issuer's Common Stock. 1/3rd of the RSUs shall vest on January 1, 2024, and the remaining RSUs shall vest over 24 equal monthly installments thereafter, subject to the Reporting Person continuing to be a service provider through such date.

SEC source: 0001628280-23-013341 · wf-form4_168256040848273.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 911,898

F1 · shares: Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units ("RSUs").

SEC source: 0001628280-22-031809 · wf-form4_167096578210317.xml · nonDerivative · entry 2

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 915,912

F2 · shares: These shares represent RSUs granted on August 30, 2022 under the Plan. Subject to the Reporting Person's continued Service Relationship through each applicable vesting date, the RSUs vest as follows: (i) 1/3 of the RSUs shall vest on March 21, 2023, (ii) 1/3 of the RSUs shall vest on March 21, 2024, and (iii) 1/3 of the RSUs shall vest on March 21, 2025. Such RSUs shall be settled upon or as soon as is practicable following the applicable vesting date.

SEC source: 0001628280-22-031809 · wf-form4_167096578210317.xml · nonDerivative · entry 1

Short Johnathan H · CIK 0001343883 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 875,912

F1 · shares: These shares represent restricted stock units ("RSUs") granted on August 30, 2022 under the Forge Global Holdings, Inc. 2022 Stock Option and Incentive Plan (the "Plan"). Each unit represents a right to receive one share of the Issuer's Common Stock. Subject to the Reporting Person's continued Service Relationship (as defined in the Plan) through each applicable vesting date, 25% of the RSUs shall vest and settle on the first Quarterly Vesting Date following the 1-year anniversary of August 1, 2022. The remaining RSUs shall vest and settle in 12 equal installments on each subsequent Quarterly Vesting Date or as soon as practicable following the applicable vesting date. Quarterly Vesting Dates are defined as March 15, June 15, September 15, and December 15 of a given year.

SEC source: 0001209191-18-054886 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,390

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 $75.29 - $76.18. 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 22,561 shares of common stock and 18,829 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 total shareholder return performance based restricted stock units and the corresponding number of shares to be issued pursuant to this award, will not be determined until February 2020, and will be reported at the time of vesting.

SEC source: 0001209191-18-050060 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,390

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.

F3 · price: The price range for the aggregate amount sold by the direct holder is $77.63 - $77.67. 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 28,561 shares of common stock and 18,829 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 total shareholder return performance based restricted stock units and the corresponding number of shares to be issued pursuant to this award, will not be determined until February 2020, and will be reported at the time of vesting.

SEC source: 0001209191-18-050060 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,991

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 $76.61 - $77.59. 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.

SEC source: 0001209191-18-042331 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,390

F3 · shares: This transaction involved a gift of 1,365 shares of the issuer's common stock by the reporting person to a philanthropic organization.

F4 · balance_after: The common stock number referred in Table I is an aggregate number and represents 34,561 shares of common stock and 18,829 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 total shareholder return performance based restricted stock units and the corresponding number of shares to be issued pursuant to this award, will not be determined until February 2020, and will be reported at the time of vesting.

SEC source: 0001209191-18-042331 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,755

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 $74.50 - $74.51. 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: 0001209191-18-030618 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,755

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 $71.44 - $71.80. 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 41,926 shares of common stock and 18,829 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 and total shareholder return performance based restricted stock units and the corresponding number of shares to be issued pursuant to this award, will not be determined until February 2020, and will be reported at the time of vesting.

F4 · balance_after: Since the reporting person's last filing, the reporting person disposed of 3,430 shares of common stock under a transaction pursuant to a divorce decree that is exempt from Section 16.

SEC source: 0001209191-18-012557 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,185

F3 · 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.

F4 · balance_after: The common stock number referred in Table I is an aggregate number and represents 51,356 shares of common stock and 18,829 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 2018 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 2019 and will be reported at the time of vesting. The satisfaction of the 2017 and 2018 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 February 2021, respectively, and will be reported at the time of vesting.

SEC source: 0001209191-18-012557 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,568

F2 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 18, 2017. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2017 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 20, 2018, 1/3 on February 20, 2019 and 1/3 on February 20, 2020). Of the 15,704 shares, 5,234 shares were issued on February 20, 2018, of which 2,383 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 10,470 shares are scheduled to be issued on the two remaining vesting dates and taxes for these future issuances will be withheld and reported at the time the shares are issued.

SEC source: 0001209191-18-012557 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,864

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 vested over three years (1/3 on February 17, 2016, 1/3 on February 17, 2017 and 1/3 on February 17, 2018). Of the 13,315 shares, 6,065 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The third and final tranche of shares for this award have been issued.

SEC source: 0001209191-18-012026 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,929

F1 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 14, 2016. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2016 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 16, 2017, 1/3 on February 16, 2018 and 1/3 on February 16, 2019). Of the 16,718 shares, 8,359 shares were issued on February 16, 2018, of which 3,586 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 8,359 shares are scheduled to be issued on February 16, 2019 and taxes for this issuances will be withheld and reported at the time of vesting.

F2 · balance_after: The common stock number referred in Table I is an aggregate number and represents 41,255 shares of common stock and 21,674 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: Since the reporting person's last filing, the reporting person disposed of 36,483 shares of common stock under a transaction pursuant to a divorce decree that is exempt from Section 16.

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: 0001209191-17-013232 · 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: 0001209191-17-012180 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,577

F2 · 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.

F4 · balance_after: The common stock number referred in Table I is an aggregate number and represents 61,559 shares of common stock and 52,018 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: 0001209191-17-012180 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,592

F3 · shares: Represents shares of performance based restricted stock units granted to the filing person on January 14, 2016. The vesting of the shares of performance based restricted stock units was conditioned upon the achievement of certain 2016 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 16, 2017, 1/3 on February 16, 2018 and 1/3 on February 16, 2019). Of the 25,076 shares, 8,358 shares were issued on February 17, 2016, of which 4,015 shares were withheld to satisfy payment of the Issuer's tax withholding obligation. The remaining 16,718 shares are scheduled to be issued on the two remaining vesting dates and taxes for these future issuances will be withheld and reported at the time the shares are issued.

SEC source: 0001209191-17-012180 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,516

F2 · 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.

SEC source: 0001209191-17-012180 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,674

F1 · shares: Represents shares of the one-time NYSE merger-related performance based restricted stock units granted to the filing person on November 13, 2013. The vesting of the shares of the one-time NYSE merger-related performance based restricted stock units was conditioned upon the achievement of a minimum level of cumulative consolidated earnings before interest, taxes, depreciation, and amortization ("EBITDA") performance over the three year performance period versus pre-established targets. The restricted stock units vested in full on February 15, 2017. Of the 45,974 shares, 21,158 shares were withheld to satisfy payment of the Issuer's tax withholding obligation.

SEC source: 0001209191-17-004855 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,598

Underlying: Common Stock · 28,598 shares

Expires 2027-01-18

F1 · derivative.exercise_date: These options vest in accordance with the following schedule: 33.33% of the options vest on January 18, 2018, 33.33% of the option vest on January 18, 2019 and 33.33% of the option vest on January 18, 2020.

SEC source: 0001209191-16-149766 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,700

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 32,400 shares of common stock and 35,300 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 performance based restricted stock units vest each year. The satisfaction of the performance target for the 2016 performance based restricted stock units and the one-time NYSE merger-related performance based restricted stock units, and the corresponding number of shares of common stock to be issued pursuant to these awards, will not be determined until February 2017 and will be reported at the time of vesting.

F3 · balance_after: On November 3, 2016, the common stock of Intercontinental Exchange, Inc. split 5-for-1, 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 and four additional units of unvested performance based restricted stock ("PSU") for each PSU owned as of that date, as reflected in the totals listed on this Form 4.

SEC source: 0001209191-16-149766 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,600

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.