0001209191-16-114241.txt : 20160414
0001209191-16-114241.hdr.sgml : 20160414
20160414180445
ACCESSION NUMBER: 0001209191-16-114241
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160414
FILED AS OF DATE: 20160414
DATE AS OF CHANGE: 20160414
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: TA INVESTORS IV, L.P.
CENTRAL INDEX KEY: 0001578035
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37732
FILM NUMBER: 161572754
BUSINESS ADDRESS:
STREET 1: 200 CLARENDON STREET
STREET 2: 56TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-574-6700
MAIL ADDRESS:
STREET 1: 200 CLARENDON STREET
STREET 2: 56TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TA ATLANTIC & PACIFIC VI LP
CENTRAL INDEX KEY: 0001420079
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37732
FILM NUMBER: 161572755
BUSINESS ADDRESS:
STREET 1: JOHN HANCOCK TOWER
STREET 2: 56TH FLOOR, 200 CLARENDON ST
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: (617) 574-6700
MAIL ADDRESS:
STREET 1: JOHN HANCOCK TOWER
STREET 2: 56TH FLOOR, 200 CLARENDON ST
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TA XI, L.P.
CENTRAL INDEX KEY: 0001463120
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37732
FILM NUMBER: 161572756
BUSINESS ADDRESS:
STREET 1: 200 CLARENDON STREET
STREET 2: 56TH STREET
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-574-6700
MAIL ADDRESS:
STREET 1: 200 CLARENDON STREET
STREET 2: 56TH STREET
CITY: BOSTON
STATE: MA
ZIP: 02116
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TA ASSOCIATES, L.P.
CENTRAL INDEX KEY: 0001034569
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37732
FILM NUMBER: 161572757
BUSINESS ADDRESS:
STREET 1: 200 CLARENDON STREET
STREET 2: 56TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-574-6735
MAIL ADDRESS:
STREET 1: 200 CLARENDON STREET
STREET 2: 56TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER NAME:
FORMER CONFORMED NAME: TA ASSOCIATES INC
DATE OF NAME CHANGE: 19990331
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2016-04-14
0
0001659228
Bats Global Markets, Inc.
BATS
0001034569
TA ASSOCIATES, L.P.
200 CLARENDON STREET
56TH FLOOR
BOSTON
MA
02116
0
0
1
0
0001463120
TA XI, L.P.
200 CLARENDON STREET
56TH FLOOR
BOSTON
MA
02116
0
0
1
0
0001420079
TA ATLANTIC & PACIFIC VI LP
200 CLARENDON STREET
56TH FLOOR
BOSTON
MA
02116
0
0
1
0
0001578035
TA INVESTORS IV, L.P.
200 CLARENDON STREET
56TH FLOOR
BOSTON
MA
02116
0
0
1
0
Voting Common Stock
3401365
I
By TA XI L.P
Voting Common Stock
2344184
I
By TA Atlantic and Pacific VI L.P.
Voting Common Stock
114910
I
By TA Investors IV L.P.
Voting Common Stock
567490
I
By TA XI L.P
Voting Common Stock
391104
I
By TA Atlantic and Pacific VI L.P.
Voting Common Stock
19165
I
By TA Investors IV L.P.
Non-Voting Common Stock
Common Stock
2205445
I
By TA XI L.P
Non-Voting Common Stock
Common Stock
1519951
I
By TA Atlantic and Pacific VI L.P.
Non-Voting Common Stock
Common Stock
74475
I
By TA Investors IV L.P.
The shares are held directly by BGM Holdings, L.P. BGM Holdings, L.P. is 50% owned and controlled by TA XI L.P., TA Atlantic and Pacific VI L.P. and TA Investors IV L.P. (collectively, the "TA Associates Funds"), which may be deemed to share voting and dispositive power over 11,720,921 shares held by BGM Holdings, L.P. The TA Associates Funds disclaim beneficial ownership of the shares held by BGM Holdings, L.P. except to the extent of their respective pecuniary interest, if any, therein.
TA Associates, L.P. is either the direct or indirect general partner of the TA Associates Funds and has investment and voting control over the shares held by the TA Associates Funds. TA Associates, L.P. disclaims beneficial ownership of the shares held by the TA Associates Funds except to the extent of its pecuniary interest, if any, therein.
As provided in the issuer's certificate of incorporation, each share of Non-Voting Common Stock is convertible into one share of Common Stock following a "qualified transfer." A "qualified transfer" means a sale or other transfer of Non-Voting Common Stock by a holder of such shares (i) in a public offering, (ii) in certain private offerings, (iii) to a transferor that owns or controls more than 50% of the Common Stock of the issuer or (iv) to the issuer. The Non-Voting Common Stock has no expiration date.
The amount of shares set forth in this report represents the amount of shares after a 1-for-2.91 stock split which will be consummated immediately prior to the completion of the issuer's initial public offering.
/s/ Jeffrey C. Hadden, General Counsel of TA Associates, L.P.
2016-04-14
TA XI L.P., By TA Associates XI GP L.P., its General Partner, By TA Associates L.P., its General Partner, by Jeffrey C. Hadden, General Counsel
2016-04-14
TA Atlantic and Pacific VI L.P., By TA Associates AP VI GP L.P., its General Partner, By TA Associates L.P., its General Partner, by Jeffrey C. Hadden, General Counsel
2016-04-14
TA Investors IV L.P., By TA Associates L.P., its General Partner, by Jeffrey C. Hadden, General Counsel
2016-04-14