SEC Form 4 · accession 0001179110-17-001007
Bats Global Markets, Inc. · BATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Brian N Schell
Officer — EVP, Chief Financial Officer
Period of report
Jan 13, 2017
Accepted (ET)
Jan 18, 2017 · 5:12 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 StockF2,F1 | Jan 13, 2017 | F | 7,828 | $33.76 | D | 189,559 | D | |
| Common StockF3,F1 | Jan 13, 2017 | A | 8,987 | $0.00 | A | 198,546 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 538 shares acquired under the Bats Global Markets, Inc. 2016 Employee Stock Purchase Plan (ESPP) for the offering period July 1, 2016 through December 31, 2016. In accordance with the ESPP, the shares were purchased at 90% of the closing price of the Issuer's common stock on July 1, 2016.
- F2These 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.
- F3Includes 8,987 shares of unvested restricted stock that vest ratably over the next three years.