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UNITED STATES SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT PURSUANT TO SECTION 13 or 15(d) of THE

SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): May 17, 2022 (May 13, 2022)

 

Intercontinental Exchange, Inc.

(Exact Name of Registrant as Specified in Charter)

 

Delaware 001-36198 46-2286804
(State or other jurisdiction of
incorporation)
(Commission
File No.)
(I.R.S. Employer Identification
Number)

 

5660 New Northside Drive, Third Floor, Atlanta, Georgia 30328

(Address of Principal Executive Offices) (Zip Code)

 

Registrant’s telephone number, including area code: (770) 857-4700

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class Trading Symbol(s) Name of Each Exchange on Which Registered
Common Stock, $0.01 par value per share ICE New York Stock Exchange

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ¨

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨

 

 

 

 

 

Item 5.07. Submission of Matters to a Vote of Security Holders.

 

(a) The Annual Meeting of Stockholders of the Company was held on May 13, 2022. At the close of business on March 15, 2022, which was the record date for the determination of stockholders entitled to vote at the Annual Meeting, there were 560,435,917 outstanding shares of common stock eligible to vote at the Annual Meeting, constituting all of the outstanding voting securities of the Company.

 

(b) The results of the matters submitted to a stockholder vote at the Annual Meeting are as follows:

 

1. Election of Directors: Our stockholders elected the following ten directors to each serve a one-year term expiring on the date of the 2023 Annual Meeting of Stockholders or until his or her earlier resignation or successor has been duly elected and qualified:

 

   For  Against  Abstain  Broker Non-
Votes
Sharon Y. Bowen  477,044,942  420,712  439,701  26,663,892
Shantella E. Cooper  472,283,254  5,175,945  446,156  26,663,892
Duriya M. Farooqui  477,002,597  457,726  445,032  26,663,892
Lord Hague of Richmond  470,302,006  7,124,490  478,859  26,663,892
Mark F. Mulhern  467,609,418  9,841,097  454,840  26,663,892
Thomas E. Noonan  466,804,273  7,777,918  3,323,164  26,663,892
Caroline L. Silver  457,215,623  20,241,183  448,549  26,663,892
Jeffrey C. Sprecher  459,115,710  16,283,075  2,506,570  26,663,892
Judith A. Sprieser  453,896,697  23,565,507  443,151  26,663,892
Martha A. Tirinnanzi  477,006,625  423,981  474,749  26,663,892

 

2. Advisory Resolution on Executive Compensation: Our stockholders approved the proposal on executive compensation. As previously disclosed, our Board has determined to hold advisory votes on executive compensation annually.

 

For  Against  Abstain  Broker Non-Votes
419,672,128  57,217,601  1,015,626  26,663,892

 

3. Approval of the Intercontinental Exchange, Inc. 2022 Omnibus Employee Incentive Plan: Our stockholders approved the Intercontinental Exchange, Inc. 2022 Omnibus Employee Incentive Plan.

 

For  Against  Abstain  Broker Non-Votes
453,755,815  23,648,285  501,255  26,663,892

 

 

 

 

4. Approval of the Intercontinental Exchange, Inc. 2022 Omnibus Non-Employee Director Incentive Plan: Our stockholders approved the Intercontinental Exchange, Inc. 2022 Omnibus Non-Employee Director Incentive Plan.

 

For  Against  Abstain  Broker Non-Votes
452,299,213  23,787,734  1,818,408  26,663,892

 

5. Approval of the Adoption of Amendments to the Company’s Current Certificate of Incorporation to Eliminate Supermajority Voting Provisions: Our stockholders approved the adoption of amendments to the Company’s current Certificate of Incorporation to eliminate supermajority voting provisions.

 

For  Against  Abstain  Broker Non-Votes
476,864,160  622,154  419,041  26,663,892

  

6. Approval of the Adoption of Amendments to the Company’s Current Certificate of Incorporation to Lower the Special Meeting Ownership Threshold to 20%: Our stockholders approved the adoption of amendments to the Company’s current Certificate of Incorporation to lower the special meeting ownership threshold to 20%.

 

For  Against  Abstain  Broker Non-Votes
440,742,694  36,204,429  958,232  26,663,892

 

7. Ratification of Appointment of Independent Registered Public Accounting Firm: Our stockholders ratified the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022.

 

For  Against  Abstain
486,565,814  17,592,544  410,889

 

8. Advisory Vote on Stockholder Proposal Regarding a Special Stockholder Meeting Improvement to Lower the Special Meeting Ownership Threshold to 10%: Our stockholders did not approve the stockholder proposal regarding a special stockholder meeting improvement to lower the special meeting ownership threshold to 10%.

 

For  Against  Abstain  Broker Non-Votes
235,987,634  241,243,561  674,160  26,663,892

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on their behalf by the undersigned hereunto duly authorized.

  

  INTERCONTINENTAL EXCHANGE, INC.
     
Date: May 17, 2022 By: /s/ Andrew J. Surdykowski
    Andrew J. Surdykowski
    General Counsel

 

 

 

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