SEC Form 4 · accession 0001209191-16-151400
Bats Global Markets, Inc. · BATS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
TA ASSOCIATES, L.P.
10% Owner
TA ATLANTIC & PACIFIC VI LP
10% Owner
TA XI, L.P.
10% Owner
TA INVESTORS IV, L.P.
10% Owner
Period of report
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 2:40 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 |
|---|---|---|---|---|---|---|---|---|
| Voting Common StockF1,F2,F3 | Nov 17, 2016 | J | 2,058,100 | — | D | 4,116,201 | I | By TA XI L.P. |
| Voting Common StockF1,F4,F3 | Nov 17, 2016 | J | 1,418,413 | — | D | 2,836,826 | I | By TA Atlantic and Pacific VI L.P. |
| Voting Common StockF1,F5,F3 | Nov 17, 2016 | J | 69,516 | — | D | 139,034 | I | By TA Investors IV L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 17, TA XI L.P. ("TA XI"), TA Atlantic and Pacific VI L.P. ("TA AP VI") and TA Investors IV L.P. ("TA Investors IV" and collectively with TA XI and TA AP VI, the "TA Associates Funds") distributed, for no consideration, 2,058,100 shares, 1,418,413 shares and 69,516 shares, respectively, of Voting Common Stock of the Issuer (collectively, the "Shares") to its limited partners and to TA Associates, L.P. ("TA Associates"), the direct or indirect general partner of each of the TA Associates Funds, representing each such partner's pro rata interest in such Shares. On the same date, TA Associates distributed, for no consideration, the Shares it received in the distribution by the TA Associates Funds to its partners, representing each such partner's pro rata interest in such Shares. All of the aforementioned distributions were made in accordance with the exemptions afforded by Rules 16a-13 and 16a-9 of the Securities Exchange Act of 1934, as amended.
- F2Includes 3,401,366 shares received by TA XI in a distribution-in-kind by BGM Holdings, L.P. on August 31, 2016, which distribution was made in accordance with the exemptions afforded by Rule 16a-13 of the Securities Exchange Act of 1934, as amended (the "BGM Distribution").
- F3TA Associates is either the direct or indirect general partner of each of the TA Associates Funds and has investment and voting control over the shares held by the TA Associates Funds. TA Associates disclaims beneficial ownership of the shares held by the TA Associates Funds except to the extent of its pecuniary interest, if any, therein.
- F4Includes 2,344,184 shares received by TA AP VI in the BGM Distribution.
- F5Includes 114,910 shares received by TA Investors IV in the BGM Distribution.