FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/14/2016 |
3. Issuer Name and Ticker or Trading Symbol
Bats Global Markets, Inc. [ BATS ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 24,191(1)(2)(3)(4)(5) | D | |
Common Stock | 10,548 | I | See Footnote(8) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to buy) | (6) | 04/30/2019 | Common Stock | 27,093 | $16.38 | D | |
Employee Stock Option (right to buy) | (7) | 01/31/2020 | Common Stock | 21,674 | $28.63 | D |
Explanation of Responses: |
1. Includes 1,340 shares of unvested restricted stock granted on 12/1/2012, which vests 25% annually. |
2. Includes 1,468 shares of unvested restricted stock granted on 12/1/2013, which vests 25% annually. |
3. Includes 2,573 shares of unvested restricted stock granted on 12/1/2014, which vests 25% annually. |
4. Includes 3,810 shares of unvested restricted stock granted on 12/1/2015, which vests 25% annually. |
5. Includes 15,000 shares of unvested restricted stock granted on 1/13/2016, which vests 25% annually. |
6. The stock options were granted on May 1, 2009 and vest 25% annually. |
7. The stock options were granted on February 1, 2010 and vest 25% annually. |
8. Shares are held of record by John Lance Schademann and Tamara Elizabeth Schademann, as Trustees of the John Lance and Tamara Elizabeth Schademann Trust dated July 1, 2009, or their successors. Ms. Schademann disclaims beneficial ownership of the reported securities, except to the extent of her pecuniary interests therein. |
Remarks: |
Exhibit List: Exhibit 24 - Power of Attorney |
/s/ Greg Steinberg, as Attorney-in-Fact | 04/14/2016 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |