SEC Form 4 · accession 0001179110-17-001002
Bats Global Markets, Inc. · BATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bryan Harkins
Officer — EVP, Head of US Markets
Period of report
Jan 13, 2017
Accepted (ET)
Jan 18, 2017 · 5:10 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 13, 2017 | F | 10,676 | $33.76 | D | 187,490 | D | |
| Common StockF2 | Jan 13, 2017 | A | 7,489 | $0.00 | A | 194,979 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were withheld by the Issuer to satisfy the tax withholding requirement arising from the vesting of restricted shares granted to the reporting person under the Issuer's Third Amended and Restated 2012 Equity Incentive Plan.
- F2Includes 7,489 shares of unvested restricted stock that vest ratably over the next three years.