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