SEC Form 4 · accession 0001179110-17-002864
Bats Global Markets, Inc. · BATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Derick D Shupe
Other
Period of report
Feb 21, 2017
Accepted (ET)
Feb 22, 2017 · 11:36 am 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 Stock | Feb 21, 2017 | M | 20,000 | $9.83 | A | 32,056 | D | |
| Common StockF1 | Feb 21, 2017 | S | 20,000 | $35.85 | D | 12,056 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F2 | $9.83 | Feb 21, 2017 | M | 20,000 | A | — | Dec 14, 2019 | Common Stock | 20,000 | 26,222 | D |
Explanation of responses
- F1The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $35.83 to $35.87, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- F2Options exercisable as to 100%