| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/14/2016 | 3. Issuer Name and Ticker or Trading Symbol Bats Global Markets, Inc. [ BATS ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 04/14/2016 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Non-voting Common stock | 2,007,900 | I | By Credit Suisse NEXT Investors, LLC(1)(2) |
| Voting common stock | 3,668,741 | I | By Credit Suisse NEXT Investors, LLC(1)(2) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. This amendment supplements the Reporting Person's original Form 3 filed on April 14, 2016 to add the rows set forth above and add Credit Suisse NEXT Investors, LLC as an additional Reporting Person. These changes are effective as of April 14, 2016. |
| 2. The shares listed above are held of record by Credit Suisse NEXT Investors, LLC. Mr. Freudenstein is an affiliate of this entity. This filing shall not be deemed to be an admission that Mr. Freudenstein is the beneficial owner of any of the securities reported herein, and Mr. Freudenstein disclaims beneficial ownership with respect to all shares beneficially owned by Credit Suisse NEXT Investors, LLC, except to the extent of his pecuniary interests therein. Credit Suisse NEXT Investors, LLC's investment adviser is Credit Suisse Asset Management, LLC, whose ultimate parent is Credit Suisse Group A.G. |
| Remarks: |
| (3) Credit Suisse Asset Management, LLC is the investment adviser of Credit Suisse Next Investors, LLC. |
| /s/ Gregory Grimaldi, Managing Director of CREDIT SUISSE ASSET MANAGEMENT, LLC (3) | 12/12/2016 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
