SEC Form 3
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) | ||||||||||||||
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) |
Common Stock | 4,027,808 | I | See footnote(1) |
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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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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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. The shares of common stock of Bats Global Markets, Inc. reported as beneficially owned consist of 4,027,808 shares of the Issuer's common stock held of record by BGM Holding, L.P. BGM Holding GP, LLC is the general partner of BGM Holding, L.P. BGM Holding GP, LLC is 50% owned and controlled by Spectrum Equity Investors VI L.P., which may be deemed to share voting and dispositive power over the shares held by BGM Holding, L.P. The general partner of Spectrum Equity Investors VI L.P. is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC, over which Brion B. Applegate, William P. Collatos, Victor E Parker, Christopher T. Mitchell, one of the Issuer's directors, and Benjamin C. Spero exercise voting and dispositive power. Each of the Reporting Persons disclaims beneficial ownership of the shares held by BGM Holding, L.P. except to the extent of any pecuniary interest therein. |
Remarks: |
/s/ Carolina A. Picazo, Authorized Person of SEA VI Management, LLC, the general partner of Spectrum Equity Associates VI, L.P., the general partner of Spectrum Equity Investors VI, L.P. | 04/15/2016 | |
/s/ Carolina A. Picazo, Authorized Person of SEA VI Management, LLC, the general partner of Spectrum Equity Associates VI, L.P. | 04/15/2016 | |
/s/ Carolina A. Picazo, Authorized Person of SEA VI Management, LLC | 04/15/2016 | |
/s/ Carolina A. Picazo as attorney-in-fact for Brion B. Applegate | 04/15/2016 | |
/s/ Carolina A. Picazo as attorney-in-fact for William P. Collatos | 04/15/2016 | |
/s/ Carolina A. Picazo as attorney-in-fact for Victor E. Parker | 04/15/2016 | |
/s/ Carolina A. Picazo as attorney-in-fact for Benjamin C. Spero | 04/15/2016 | |
** 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. |