0001179110-17-003553.txt : 20170302
0001179110-17-003553.hdr.sgml : 20170302
20170302101702
ACCESSION NUMBER: 0001179110-17-003553
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170228
FILED AS OF DATE: 20170302
DATE AS OF CHANGE: 20170302
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: Harkins Bryan
CENTRAL INDEX KEY: 0001667178
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37732
FILM NUMBER: 17657269
MAIL ADDRESS:
STREET 1: 8050 MARSHALL DRIVE
STREET 2: SUITE 120
CITY: LENEXA
STATE: KS
ZIP: 66214
4
1
edgar.xml
FORM 4 -
X0306
4
2017-02-28
1
0001659228
Bats Global Markets, Inc.
BATS
0001667178
Harkins Bryan
8050 MARSHALL DRIVE
SUITE 120
LENEXA
KS
66214
0
1
0
0
EVP, Head of US Markets
Common Stock
2017-02-28
4
D
0
189779
D
0
D
As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a)0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio").
Includes: 10,351 shares of restricted Common Stock that are scheduled to vest 1/31/2018; 8,984 shares of restricted Common Stock that are scheduled to vest 12/1/2018; 22,665 shares of restricted Common Stock that are scheduled to vest 12/1/2019; 14,433 shares of restricted Common Stock that are scheduled to vest 12/15/2019; 83,877 shares of restricted Common Stock that are scheduled to vest 1/13/2020.
Pursuant to the Merger Agreement, at the Effective Time, each outstanding award of restricted Common Stock held by the Reporting Person will be cancelled and converted into an award of restricted shares of CBOE Common Stock, subject to the same terms and conditions that applied to the applicable restricted Common Stock award immediately prior to the Effective Time (but taking into account any changes, including any acceleration of vesting of such shares of restricted Common Stock, occurring by reason provided for in the Merger Agreement). The number of shares of CBOE Common Stock subject to each such award shall be equal to the number of shares of Common Stock subject to the corresponding restricted Common Stock award multiplied by the Exchange Ratio.
/s/ Greg Steinberg, as Attorney-in-fact
2017-02-28