0001012975-16-001166.txt : 20160415 0001012975-16-001166.hdr.sgml : 20160415 20160415202640 ACCESSION NUMBER: 0001012975-16-001166 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160414 FILED AS OF DATE: 20160415 DATE AS OF CHANGE: 20160415 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Bats Global Markets, Inc. CENTRAL INDEX KEY: 0001659228 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 463583191 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 8050 MARSHALL DRIVE STREET 2: SUITE 120 CITY: LENEXA STATE: KS ZIP: 66214 BUSINESS PHONE: (913) 815-7000 MAIL ADDRESS: STREET 1: 8050 MARSHALL DRIVE STREET 2: SUITE 120 CITY: LENEXA STATE: KS ZIP: 66214 FORMER COMPANY: FORMER CONFORMED NAME: BATS Global Markets, Inc. DATE OF NAME CHANGE: 20151123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spero Benjamin C. CENTRAL INDEX KEY: 0001472386 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37732 FILM NUMBER: 161575605 MAIL ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD STREET 2: SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PARKER VICTOR E JR CENTRAL INDEX KEY: 0001166804 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37732 FILM NUMBER: 161575606 MAIL ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD, STREET 2: SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SEA VI Management LLC CENTRAL INDEX KEY: 0001602790 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37732 FILM NUMBER: 161575609 BUSINESS ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 415-464-4600 MAIL ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spectrum Equity Associates VI, L.P. CENTRAL INDEX KEY: 0001602784 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37732 FILM NUMBER: 161575610 BUSINESS ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 415-464-4600 MAIL ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD, SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPECTRUM EQUITY INVESTORS VI LP CENTRAL INDEX KEY: 0001450525 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37732 FILM NUMBER: 161575611 BUSINESS ADDRESS: STREET 1: ONE INTERNATIONAL PLACE STREET 2: 29TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 617-464-4600 MAIL ADDRESS: STREET 1: ONE INTERNATIONAL PLACE STREET 2: 29TH FLOOR CITY: BOSTON STATE: MA ZIP: 02110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: APPLEGATE BRION B CENTRAL INDEX KEY: 0001006421 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37732 FILM NUMBER: 161575608 MAIL ADDRESS: STREET 1: 333 MIDDLEFIELD ROAD STREET 2: SUITE 200 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLLATOS WILLIAM P CENTRAL INDEX KEY: 0001006420 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37732 FILM NUMBER: 161575607 MAIL ADDRESS: STREET 1: ONE INTERNATIONAL PLACE STREET 2: 29TH FL CITY: BOSTON STATE: MA ZIP: 02110 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2016-04-14 0 0001659228 Bats Global Markets, Inc. BATS 0001450525 SPECTRUM EQUITY INVESTORS VI LP 140 NEW MONTGOMERY STREET, 20TH FLOOR SAN FRANCISCO CA 94105 0 0 1 0 0001602784 Spectrum Equity Associates VI, L.P. 140 NEW MONTGOMERY STREET, 20TH FLOOR SAN FRANCISCO CA 94105 0 0 1 0 0001602790 SEA VI Management LLC 140 NEW MONTGOMERY STREET, 20TH FLOOR SAN FRANCISCO CA 94105 0 0 1 0 0001006421 APPLEGATE BRION B C/O SPECTRUM EQUITY 140 NEW MONTGOMERY STREET, 20TH FLOOR SAN FRANCISCO CA 94105 0 0 1 0 0001006420 COLLATOS WILLIAM P C/O SPECTRUM EQUITY 140 NEW MONTGOMERY STREET, 20TH FLOOR SAN FRANCISCO CA 94105 0 0 1 0 0001166804 PARKER VICTOR E JR C/O SPECTRUM EQUITY 140 NEW MONTGOMERY STREET, 20TH FLOOR SAN FRANCISCO CA 94105 0 0 1 0 0001472386 Spero Benjamin C. C/O SPECTRUM EQUITY 140 NEW MONTGOMERY STREET, 20TH FLOOR SAN FRANCISCO CA 94105 0 0 1 0 Common Stock 4027808 I See footnote The shares of common stock of Bats Global Markets, Inc. reported as beneficially owned consist of 4,027,808 shares of the Issuer's common stock held of record by BGM Holding, L.P. BGM Holding GP, LLC is the general partner of BGM Holding, L.P. BGM Holding GP, LLC is 50% owned and controlled by Spectrum Equity Investors VI L.P., which may be deemed to share voting and dispositive power over the shares held by BGM Holding, L.P. The general partner of Spectrum Equity Investors VI L.P. is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC, over which Brion B. Applegate, William P. Collatos, Victor E Parker, Christopher T. Mitchell, one of the Issuer's directors, and Benjamin C. Spero exercise voting and dispositive power. Each of the Reporting Persons disclaims beneficial ownership of the shares held by BGM Holding, L.P. except to the extent of any pecuniary interest therein. /s/ Carolina A. Picazo, Authorized Person of SEA VI Management, LLC, the general partner of Spectrum Equity Associates VI, L.P., the general partner of Spectrum Equity Investors VI, L.P. 2016-04-15 /s/ Carolina A. Picazo, Authorized Person of SEA VI Management, LLC, the general partner of Spectrum Equity Associates VI, L.P. 2016-04-15 /s/ Carolina A. Picazo, Authorized Person of SEA VI Management, LLC 2016-04-15 /s/ Carolina A. Picazo as attorney-in-fact for Brion B. Applegate 2016-04-15 /s/ Carolina A. Picazo as attorney-in-fact for William P. Collatos 2016-04-15 /s/ Carolina A. Picazo as attorney-in-fact for Victor E. Parker 2016-04-15 /s/ Carolina A. Picazo as attorney-in-fact for Benjamin C. Spero 2016-04-15 EX-24 2 attach_2.htm EXHIBIT 24 - POWER OF ATTONEY

POWER OF ATTORNEY



KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes

and appoints William P. Collatos, Brion B. Applegate, Christopher T.

Mitchell, Victor E. Parker, Jr., Benjamin C. Spero, Brian M. Regan and

Carolina Picazo, and each of them, with full power to act without the

others, as his true and lawful attorney-in-fact, with full power of

substitution, to sign any and all instruments, certificates and documents

that may be necessary, desirable or appropriate to be executed on behalf

of himself as an individual or in his capacity as a direct or indirect

general partner, director, officer or manager of any partnership,

corporation or limited liability company, pursuant to section 13 or 16

of the Securities Exchange Act of 1934, as amended (the "Exchange Act"),

and any and all regulations promulgated thereunder, and to file the same,

with all exhibits thereto, and any other documents in connection therewith,

with the Securities and Exchange Commission, and with any other entity

when and if such is mandated by the Exchange Act or by the Financial

Industry Regulatory Authority, granting unto said attorney-in-fact full

power and authority to do and perform each and every act and thing necessary,

desirable or appropriate, fully to all intents and purposes as he might or

could do in person, thereby ratifying and confirming all that said

attorney-in-fact, or h is substitutes, may lawfully do or cause to be done

by virtue hereof.



IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 17th

day of February, 2016.









/s/ Brion B. Applegate

Brion B. Applegate



/s/ William P. Collatos

William P. Collatos



/s/ Christopher T. Mitchell

Christopher T. Mitchell



/s/ Victor E. Parker, Jr.

Victor E. Parker, Jr.



/s/ Benjamin C. Spero

Benjamin C. Spero



/s/ Stephen M. LeSieur

Stephen M. LeSieur



/s/ Peter T. Jensen

Peter T. Jensen



/s/ Ronan Cunningham

Ronan Cunningham



/s/ Brian M. Regan

Brian M. Regan