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Knight Capital Group LLC, et al. – ‘4’ for 10/19/16 re: Bats Global Markets, Inc.

On:  Friday, 10/21/16, at 4:13pm ET   ·   For:  10/19/16   ·   As:  10% Owner   ·   Accession #:  899243-16-32162   ·   File #:  1-37732

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

10/21/16  Knight Capital Group LLC          4          10% Owner   1:8K   Bats Global Markets, Inc.         Donnelley R R & S..06/FA
          KCG Holdings, Inc.
          KCG Strategic Holdings LLC

Statement of Changes in Beneficial Ownership of Securities   —   Form 4
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Form 4 Submission -- doc4.xml/3.6                   HTML      7K 


This document is an XML File that may be rendered in various formats:

Form 4  –  Plain Text  –  EDGAR System  –  SEC Website  –  XML Listing  –  <?xml?> File
 

 
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
KCG Strategic Holdings LLC

(Last) (First) (Middle)
C/O KCG HOLDINGS, INC.
545 WASHINGTON BOULEVARD

(Street)
JERSEY CITY NJ 07310

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Bats Global Markets, Inc. [ BATS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
 Director X 10% Owner
 Officer (give title below)  Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
10/19/16
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
 Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/19/16  S  95,000 D (1) 13,121,862 D 
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
KCG Strategic Holdings LLC

(Last) (First) (Middle)
C/O KCG HOLDINGS, INC.
545 WASHINGTON BOULEVARD

(Street)
JERSEY CITY NJ 07310

(City) (State) (Zip)
1. Name and Address of Reporting Person*
KCG Holdings, Inc.

(Last) (First) (Middle)
545 WASHINGTON BOULEVARD


(Street)
JERSEY CITY NJ 07310

(City) (State) (Zip)
1. Name and Address of Reporting Person*
KNIGHT CAPITAL GROUP LLC

(Last) (First) (Middle)
C/O KCG HOLDINGS, INC.
545 WASHINGTON BOULEVARD

(Street)
JERSEY CITY NJ 07310

(City) (State) (Zip)
Explanation of Responses:
(1)  Represents the sale of 95,000 shares in multiple transactions at prices ranging from $29.75 to $29.79 per share, resulting in a weighted average sale price per share of $29.75. The reporting person undertakes to provide the SEC, the Issuer, or any security holder of the Issuer, upon request, full information pertaining to the number of shares sold at each price.
Remarks:

 /s/ Robert McQueen, Deputy General Counsel & Assistant Secretary 10/21/16
 /s/ Robert McQueen, Deputy General Counsel & Assistant Secretary 10/21/16
 /s/ Robert McQueen, Deputy General Counsel & Assistant Secretary 10/21/16
 ** 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 4 (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.

________
Transaction Code:
    S:  Open market or private sale of non-derivative or derivative security.
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