SEC Form 3/A · accession 0000903423-16-001410
Bats Global Markets, Inc. · BATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Period of report
Apr 14, 2016
Accepted (ET)
Dec 12, 2016 · 5:36 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001659228
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Non-voting Common stockF1,F2 | holding | — | — | — | 2,007,900 | I | By Credit Suisse NEXT Investors, LLC | |
| Voting common stockF1,F2 | holding | — | — | — | 3,668,741 | I | By Credit Suisse NEXT Investors, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This 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.
- F2The 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.