Basic Stats
| CIK | 1659228 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Bats Global Markets, Inc.
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| March 13, 2017 |
15-12B 1 a17-822611512b.htm 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-37732 BATS GLOBAL MARKETS, INC. (Exac |
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| March 1, 2017 |
Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 28, 2017 Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorp |
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| March 1, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 28, 2017 Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 1, 2017 |
CERTIFICATE OF FORMATION CBOE V, LLC Exhibit 3.3 CERTIFICATE OF FORMATION OF CBOE V, LLC This Certificate of Formation of CBOE V, LLC (the ?LLC?) is being duly executed and filed by CBOE HOLDINGS, INC. to form a limited liability company under the Delaware Limited Liability Company Act (6 Del. C. ?18-101 et seq.) (the ?LLC Act?). 1. The name of the limited liability company formed hereby is CBOE V, LLC. 2. The address of the register |
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| March 1, 2017 |
BATS GLOBAL MARKETS, INC. ARTICLE I. Exhibit 3.2 BYLAWS OF BATS GLOBAL MARKETS, INC. ARTICLE I. OFFICES Section 1. Registered Office. The address of the registered office of CBOE Corporation (the ?Corporation?), in the State of Delaware is Corporation Trust Center, 1209 Orange Street, Wilmington, New Castle County, Delaware 19801. Section 2. Other Offices. The Corporation may also have such other office or offices in the State of Del |
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| March 1, 2017 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION BATS GLOBAL MARKETS, INC. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. FIRST: The name of the corporation (which is hereinafter referred to as the ?Corporation?) is Bats Global Markets, Inc. SECOND: The address of the Corporation?s registered office in the State of Delaware is The Corporation Trust Center, 1209 Orange Street in the City of Wilmington, County of New Castle, Dela |
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| March 1, 2017 |
LIMITED LIABILITY COMPANY OPERATING AGREEMENT CBOE V, LLC (a Delaware limited liability company) EX-3.4 5 dp73413ex0304.htm EXHIBIT 3.4 Exhibit 3.4 LIMITED LIABILITY COMPANY OPERATING AGREEMENT OF CBOE V, LLC (a Delaware limited liability company) THIS LIMITED LIABILITY COMPANY OPERATING AGREEMENT (this “Agreement”) is executed as of September 25, 2016 by CBOE Holdings, Inc. (the “Member”). The Member, intending to be legally bound, hereby states the terms of its agreement as to the affairs o |
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| February 28, 2017 |
S-8 POS 1 a17-73541s8pos.htm S-8 POS As filed with the Securities and Exchange Commission on February 28, 2017 Registration No. 333-210841 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-210841 UNDER THE SECURITIES ACT OF 1933 BATS GLOBAL MARKETS, INC. (Exact name of registrant as specified in its chart |
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| February 27, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings released the following tweet on February 27, 2017: .@CBOE Holdings, Inc. to Join S&P |
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| February 27, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS, INC. TO JOIN S&P 500 CHICAGO, IL ? February 27, 2 |
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| February 24, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC17-009 February 24, 2017 CBOE Holdings President and COO to Retire on Februa |
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| February 17, 2017 |
Exhibit 99.1 News Release ? For Immediate Release CBOE HOLDINGS? ACQUISITION OF BATS GLOBAL MARKETS EXPECTED TO CLOSE FEBRUARY 28 ? Transaction Has Received Final Remaining European Regulatory Approval ? Three Bats Directors to Join CBOE Holdings Board ? Election Deadline for Bats Stockholders Set for February 24 CHICAGO and KANSAS CITY ? February 16, 2017 ? CBOE Holdings, Inc. (NASDAQ: CBOE) and |
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| February 17, 2017 |
Bats Global Markets 8-K (Prospectus) 425 1 a17-462118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 16, 2017 CBOE HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34774 20-5446972 (State or Other Jurisdiction of Incorpor |
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| February 17, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC17-008 February 17, 2017 CBOE Holdings Declares First-Quarter Dividend > On |
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| February 17, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Date: February 16, 2017 To: All CBOE and Bats Employees From: Edward Tilly RE: CBOE Holdings? Acqui |
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| February 16, 2017 |
CBOE HOLDINGS’ ACQUISITION OF BATS GLOBAL MARKETS EXPECTED TO CLOSE FEBRUARY 28 Exhibit 99.1 News Release ? For Immediate Release CBOE HOLDINGS? ACQUISITION OF BATS GLOBAL MARKETS EXPECTED TO CLOSE FEBRUARY 28 ? Transaction Has Received Final Remaining European Regulatory Approval ? Three Bats Directors to Join CBOE Holdings Board ? Election Deadline for Bats Stockholders Set for February 24 CHICAGO and KANSAS CITY - February 16, 2017 - CBOE Holdings, Inc. (NASDAQ: CBOE) and |
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| February 16, 2017 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 16, 2017 Bats Global Markets, Inc. |
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| February 16, 2017 |
Bats Global Markets FORM 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): February 16, 2017 Bats Global Markets, Inc. |
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| February 16, 2017 |
CBOE HOLDINGS’ ACQUISITION OF BATS GLOBAL MARKETS EXPECTED TO CLOSE FEBRUARY 28 Exhibit 99.1 News Release ? For Immediate Release CBOE HOLDINGS? ACQUISITION OF BATS GLOBAL MARKETS EXPECTED TO CLOSE FEBRUARY 28 ? Transaction Has Received Final Remaining European Regulatory Approval ? Three Bats Directors to Join CBOE Holdings Board ? Election Deadline for Bats Stockholders Set for February 24 CHICAGO and KANSAS CITY - February 16, 2017 - CBOE Holdings, Inc. (NASDAQ: CBOE) and |
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| February 16, 2017 |
Bats Global Markets 425 (Prospectus) 425 1 a16-2369026425.htm 425 Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS DECLARES FIRST-QUARTE |
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| February 16, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release ? For Immediate Release CBOE HOLDINGS? ACQUISITION OF BATS GLOBAL MARKETS EXPECTED TO |
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| February 14, 2017 |
BATS / Bats Global Markets, Inc. / TA XI, L.P. - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Bats Global Markets, Inc. (Name of Issuer) Ordinary Shares, par value $0.01 per share (Title of Class of Securities) 05491G109 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to des |
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| February 10, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC17-006 February 10, 2017 CBOE Holdings Reports Fourth-Quarter 2016 Results O |
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| February 10, 2017 |
BATS / Bats Global Markets, Inc. / GENERAL ATLANTIC LLC - AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Bats Global Markets, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 05491G109 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| February 9, 2017 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6(b) of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| February 9, 2017 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6(b) of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| February 9, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 PARTICIPANTS Corporate Participants Edward T. Tilly ? Chief Executive Officer & Director, CBOE Hold |
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| February 9, 2017 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6(b) of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| February 9, 2017 |
batsCurrentFolio8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| February 9, 2017 |
batsEx991 Exhibit 99.1 Bats Reports Fourth Quarter Net Income Growth of 50% Sets Record for Full Year 2016 Net Revenue of $436 Million KANSAS CITY – February 9, 2017 – Bats Global Markets, Inc. (Bats: BATS), a leading global exchange operator and provider of market data and other financial markets services, today reported net income of $32.5 million and adjusted earnings† of $38.5 million for the |
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| February 7, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Date: February 7, 2017 To: All CBOE and Bats Employees From: Ed Tilly RE: CBOE Holdings Fourth-Quar |
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| February 7, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings, Inc. Fourth Quarter 2016 Earnings Call Transcript Monday, February 6, 2017 4:00 p.m. |
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| February 6, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings released the following tweets on February 6, 2017: .@CBOE Holdings CEO Edward Tilly a |
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| February 6, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Fourth Quarter 2016 Earnings Presentation February 6, 2017 Cautionary Statements Regarding Forward- |
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| February 6, 2017 |
Bats Global Markets 425 (Prospectus) 425 1 a425-q4x16earningsrelease.htm 425 Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release CBOE HOLDINGS REPORTS FOURTH-QUARTER 2016 FINA |
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| February 6, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings Monthly Volume & RPC Report - 2016 Updated on February 6, 2017 Period Jan-16 Feb-16 M |
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| February 3, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC17-005 February 3, 2017 CBOE Launches S&P 500 Range-Bound Premium Income Ind |
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| February 2, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS TO PRESENT AT CREDIT SUISSE FINANCIAL SERVICES FOR |
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| February 2, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings Monthly Volume & RPC Report - 2017 Updated on February 2, 2017 Period Jan-17 1Q17 Yea |
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| February 2, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS REPORTS JANUARY 2017 TRADING VOLUME CHICAGO, IL - |
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| February 1, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following is a transcript of a video that was made available on the CBOE Holdings website and r |
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| February 1, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following is a presentation that was used in a video that was made available on the CBOE Holdin |
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| February 1, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following newsletter was distributed to employees of CBOE Holdings, Inc. and Bats Global Market |
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| January 20, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC17-003 January 20, 2017 CBOE Holdings Stockholders Approve Share Issuance in |
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| January 18, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following is a presentation that was used in a video that was made available on the CBOE Holdin |
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| January 18, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following is a transcript of a video that was made available on the CBOE Holdings website and r |
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| January 18, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following newsletter was distributed to employees of CBOE Holdings and Bats on January 18, 2017 |
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| January 17, 2017 |
Bats Global Markets 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): January 17, 2017 CBOE HOLDINGS, INC. |
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| January 17, 2017 |
CBOE HOLDINGS STOCKHOLDERS APPROVE SHARE ISSUANCE IN BATS MERGER EX-99.1 2 a17-19951ex99d1.htm EX-99.1 Exhibit 99.1 News Release For Immediate Release CBOE HOLDINGS STOCKHOLDERS APPROVE SHARE ISSUANCE IN BATS MERGER CHICAGO, IL — January 17, 2017 — At a special meeting of stockholders of CBOE Holdings, Inc. (NASDAQ: CBOE) held today, CBOE Holdings stockholders voted in favor of a proposal to approve the issuance of shares of CBOE Holdings common stock pursuant |
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| January 17, 2017 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 8-K 1 dp719918k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 17, 2017 Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction o |
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| January 17, 2017 |
Bats Global Markets Announces Stockholder Approval of Merger Agreement with CBOE Holdings Exhibit 99.1 MEDIA Hannah Randall New York +1.646.856.8809 Stacie Fleming London +44.20.7012.8950 Randy Williams New York +1.212.378.8522 [email protected] INVESTORS Mark Marriott Kansas City +1.913.815.7132 [email protected] Bats Global Markets Announces Stockholder Approval of Merger Agreement with CBOE Holdings KANSAS CITY, NEW YORK and LONDON ? January 17, 2017 ? Bats Global Markets, Inc. (Bats: BATS) |
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| January 17, 2017 |
Bats Global Markets FORM 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 17, 2017 Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorporation) (Commission |
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| January 17, 2017 |
Bats Global Markets Announces Stockholder Approval of Merger Agreement with CBOE Holdings Exhibit 99.1 MEDIA Hannah Randall New York +1.646.856.8809 Stacie Fleming London +44.20.7012.8950 Randy Williams New York +1.212.378.8522 [email protected] INVESTORS Mark Marriott Kansas City +1.913.815.7132 [email protected] Bats Global Markets Announces Stockholder Approval of Merger Agreement with CBOE Holdings KANSAS CITY, NEW YORK and LONDON ? January 17, 2017 ? Bats Global Markets, Inc. (Bats: BATS) |
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| January 17, 2017 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6(b) of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| January 13, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC17-002 January 13, 2017 Trading Schedule for the Martin Luther King, Jr. Hol |
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| January 12, 2017 |
Exhibit 1.1 EXECUTION VERSION CBOE Holdings, Inc. $650,000,000 3.650% Senior Notes due 2027 UNDERWRITING AGREEMENT January 9, 2017 Merrill Lynch, Pierce, Fenner & Smith Incorporated Morgan Stanley & Co. LLC Underwriting Agreement January 9, 2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED One Bryant Park New York, NY 10036 MORGAN STANLEY & CO. LLC 1585 Broadway New York, NY 10036 As Represe |
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| January 12, 2017 |
OFFICER’S CERTIFICATE PURSUANT TO SECTION 301 OF THE INDENTURE Exhibit 4.2 OFFICER’S CERTIFICATE PURSUANT TO SECTION 301 OF THE INDENTURE The undersigned, Alan J. Dean, Executive Vice President and Chief Financial Officer, and David S. Reynolds, Vice President and Chief Accounting Officer, of CBOE Holdings, Inc., a Delaware corporation (the “Company”), pursuant to Section 301 of the Indenture dated January 12, 2017 (the “Indenture”) between the Company and We |
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| January 12, 2017 |
Exhibit 4.1 EXECUTION VERSION INDENTURE between CBOE HOLDINGS, INC., as Issuer and WELLS FARGO BANK, NATIONAL ASSOCIATION, as Trustee Dated as of January 12, 2017 Providing for the Issuance of Debt Securities in Series CBOE HOLDINGS, INC. Reconciliation and tie between Trust Indenture Act of 1939 and Indenture, dated as of January 12, 2017 Trust Indenture Act Section Indenture Section Sec. 310(a)( |
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| January 12, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 12, 2017 CBOE HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34774 20-5446972 (State or Other Jurisdiction (Commission File Number) (IRS Employ |
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| January 9, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS ANNOUNCES PRICING OF SENIOR NOTES OFFERING CHICAGO |
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| January 6, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC17-001 January 6, 2017 December and Full Year 2016 Volume Recap CBOE Holding |
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| January 6, 2017 |
Bats Global Markets FORM 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 6, 2017 Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorporation) (Commission F |
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| January 6, 2017 |
Bats Global Markets FORM 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 6, 2017 Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorporation) (Commission F |
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| January 4, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings Monthly Volume & RPC Report - 2016 Updated on January 4, 2017 Period Jan-16 Feb-16 Ma |
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| January 4, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS REPORTS TRADING VOLUME FOR DECEMBER AND FULL YEAR |
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| January 3, 2017 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following presentation was made available on January 3, 2017: Strengthens CBOE?s Global Positio |
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| January 3, 2017 |
QuickLinks - Click here to rapidly navigate through this document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 3, 2017 |
Investor Presentation January 2017 Exhibit 99.4 Investor Presentation January 2017 Forward-Looking Statements This presentation contains or may contain “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. We intend these forward-looking statements to be covered by the safe harbor provisions for such statements. T |
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| January 3, 2017 |
QuickLinks - Click here to rapidly navigate through this document Exhibit 99.2 Bats Global Markets, Inc. and Subsidiaries Condensed Consolidated Statements of Financial Condition (in millions, except share data) September 30, 2016 December 31, 2015 (unaudited) Assets Current assets: Cash and cash equivalents $ 69.1 $ 75.1 Restricted cash 1.8 — Financial investments: Trading investments, at fair va |
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| January 3, 2017 |
Report of Independent Registered Public Accounting Firm QuickLinks - Click here to rapidly navigate through this document Exhibit 99.1 Report of Independent Registered Public Accounting Firm The Board of Directors and Stockholders Bats Global Markets, Inc.: We have audited the accompanying consolidated statements of financial condition of Bats Global Markets, Inc. (formerly known as BATS Global Markets, Inc.) and its subsidiaries (the Company) as of De |
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| January 3, 2017 |
Unaudited Pro Forma Condensed Combined Financial Statements Exhibit 99.3 Unaudited Pro Forma Condensed Combined Financial Statements CBOE Holdings, Inc., a Delaware corporation (“CBOE Holdings”), entered into an Agreement and Plan of Merger, dated as of September 25, 2016 (the “Merger Agreement”), by and among CBOE Holdings, Bats Global Markets, Inc., a Delaware corporation (“Bats”), CBOE Corporation, a Delaware corporation and wholly owned subsidiary of C |
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| December 23, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSU |
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| December 22, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE HOLDINGS ANNOUNCES PLANNED CHANGES IN BOARD LEADERSHIP ROLES AT CLOSE OF TRANSACTION WITH BATS |
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| December 22, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following newsletter was distributed to employees of CBOE Holdings, Inc. and Bats Global Market |
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| December 22, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS ANNOUNCES DATE OF FOURTH-QUARTER 2016 EARNINGS REL |
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| December 22, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following is a presentation that was used in a video that was made available on the CBOE Holdin |
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| December 22, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following is a transcript of a video that was made available on the CBOE Holdings website and r |
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| December 20, 2016 |
Exhibit 10.1 Execution Version Published Deal CUSIP Number: 12507LAA4 Published Term Facility CUSIP Number: 12507LAB2 TERM LOAN CREDIT AGREEMENT Dated as of December 15, 2016 among CBOE HOLDINGS, INC., as the Borrower, BANK OF AMERICA, N.A., as Administrative Agent, and The Other Lenders Party Hereto MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED as Sole Lead Arranger and Sole Bookrunner, MORG |
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| December 20, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): December 14, 2016 CBOE HOLDINGS, INC. |
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| December 20, 2016 |
Exhibit 10.2 Execution Version Published Deal CUSIP Number: 12507LAC0 Published Revolver Facility CUSIP Number: 12507LAD8 CREDIT AGREEMENT Dated as of December 15, 2016 among CBOE HOLDINGS, INC., as the Company, BANK OF AMERICA, N.A., as Administrative Agent and as Swing Line Lender, and The Other Lenders Party Hereto MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED as Sole Lead Arranger and Sol |
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| December 14, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following newsletter was distributed to employees of CBOE Holdings, Inc. and Bats Global Market |
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| December 14, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The following page was made available on the CBOE Holdings website on December 14, 2016: Merrill Co |
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| December 13, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-6 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 About CBOE Investor RelationsSpecialMeeting and Proxy Materials Events & Corporate Governance Chi |
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| December 13, 2016 |
EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be r |
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| December 13, 2016 |
EXHIBIT 24.1 Power of Attorney Know all by these presents that the undersigned hereby make, constitute and appoint each of Daniel Mirtschink and Martin Loll, or either of them acting singly, and with full power of substitution, the undersigneds’ true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in each of the undersigneds’ capacity as an officer and/or director |
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| December 13, 2016 |
BATS / Bats Global Markets, Inc. / Deutsche Boerse - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Bats Global Markets, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 05491G109 (CUSIP Number) November 1, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| December 10, 2016 |
Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 9, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| December 8, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings, Inc. Goldman Sachs U.S. Financial Services Conference Presentation December 7, 2016 |
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| December 7, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| December 7, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Goldman Sachs US Financial Services Conference December 7, 2016 Forward-Looking Statements Caution |
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| December 6, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| December 5, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS TO PRESENT AT GOLDMAN SACHS U.S. FINANCIAL SERVIC |
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| December 2, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 Information Circular IC16-064 December 2, 2016 Matt Moran, CBOE VP of Business Development, discus |
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| December 2, 2016 |
Bats Global Markets 425 (Prospectus) 425 1 a16-1902336425.htm 425 Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS REPORTS NOVEMBER 201 |
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| December 2, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 CBOE Holdings Monthly Volume & RPC Report - 2016 Updated on December 2, 2016 Period Jan-16 Feb-16 |
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| December 1, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 2016 CBOE Risk Management Conference Asia Options Hub Blog Edward Tilly Remarks Thursday, December |
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| December 1, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 6:51 p.m. CT Tilly: Bats acquisition has potential to expand, diversify product line and broaden r |
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| November 30, 2016 |
BATS / Bats Global Markets, Inc. / GENERAL ATLANTIC LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Bats Global Markets, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 05491G109 (CUSIP Number) November 28, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| November 28, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 The new CBOE-Bats employee newsletter providing integration updates Email not displaying correctly |
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| November 18, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. SEC File No. for Registration Statement on Form S-4 filed by CBOE Holdings, Inc.: 333-214488 News Release For Immediate Release CBOE HOLDINGS ANNOUNCES EARLY TERMINATION OF HART-SCOTT-RODINO |
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| November 14, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Information Circular IC16-061 November 11, 2016 Overnight Trading Volumes Set New Records on Election Night > The Tuesday overnight trading s |
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| November 10, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) November 2016 Forward-Looking Statements Cautionary Statements Regarding Forward-Looking Information This presentation contains certain state |
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| November 9, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) News Release For Immediate Release VIX FUTURES VOLUME IN NON-U.S. TRADING HOURS SETS NEW DAILY RECORD CHICAGO, IL - November 9, 2016 - CBOE F |
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| November 8, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2016 Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorporation) (Commission |
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| November 8, 2016 |
INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.1 INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Bats Global Markets, Inc. and Subsidiaries Report of Independent Registered Public Accounting Firm 2 Consolidated Financial Statements: Consolidated Statements of Financial Condition 3 Consolidated Statements of Income 4 Consolidated Statements of Comprehensive Income 5 Consolidated Statements of Changes in Stockholders’ Equity 6 Consolidated |
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| November 7, 2016 |
Bats Global Markets 10-Q (Quarterly Report) batsCurrentFolio10Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 4, 2016 |
Bats Global Markets 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Information Circular IC16-059 November 4, 2016 October 2016 Volume Recap CBOE Holdings ? Average daily volume (ADV) in October for options an |
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| November 3, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| November 3, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| November 3, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| November 3, 2016 |
batsEx991 Exhibit 99.1 Bats Reports Third Quarter Net Income Growth of 13% Announces Quarterly Cash Dividend of $0.08 per share KANSAS CITY ? November 3, 2016 ? Bats Global Markets, Inc. (Bats: BATS), a leading global exchange operator and provider of market data and other financial markets services, today reported net income of $28.5 million and adjusted earnings? of $35.3 million for the third q |
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| November 3, 2016 |
Bats Global Markets 8-K (Current Report/Significant Event) batsCurrentFolio8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| November 2, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) CBOE Holdings Monthly Volume & RPC Report - 2016 Updated on November 2, 2016 Period Jan-16 Feb-16 Mar-16 Apr-16 May-16 Jun-16 Jul-16 Aug-16 S |
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| November 2, 2016 |
CBOE Holdings 425 (Prospectus) 425 1 a16-1902324425.htm 425 Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) News Release For Immediate Release CBOE HOLDINGS REPORTS OCTOBER 2016 TRADING VOLUME CHICAGO, IL - November 2, 2 |
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| November 2, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) CBOE Holdings Monthly Volume & RPC Report - 2015 As of November 2, 2016 Period Jan-15 Feb-15 Mar-15 Apr-15 May-15 Jun-15 Jul-15 Aug-15 Sep-15 |
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| October 28, 2016 |
CBOE Holdings 425 (Prospectus) 425 1 a16-1902322425.htm 425 Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) 7:41 a.m. CT @CBOE Holdings announces third-quarter 2016 financial results. Important info: bit.ly/2dSWUc3 7:46 |
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| October 28, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Third Quarter 2016 Earnings Presentation October 28, 2016 Forward-Looking Statements This presentation contains certain statements regarding |
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| October 28, 2016 |
CBOE Holdings 425 (Prospectus) 425 1 a16-1902323425.htm 425 Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) CBOE Earnings Call Transcript OPERATOR: Good morning, and welcome to the CBOE 2016 Financial Results Conference |
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| October 28, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) This correspondence was distributed on October 28, 2016. Date: October 28, 2016 To: All Employees From: Ed Tilly RE: CBOE Holdings Third-Quar |
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| October 28, 2016 |
CBOE Holdings 425 (Prospectus) Document Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) News Release CBOE HOLDINGS REPORTS SOLID THIRD -QUARTER RESULTS Third -Quarter 2016 Financial Highlights - GAAP Operating Revenue of |
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| October 28, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Information Circular IC16-057 October 28, 2016 CBOE Holdings Reports Third-Quarter 2016 Financial Results ? This morning, CBOE Holdings repor |
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| October 26, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) News Release For Immediate Release CBOE HOLDINGS DECLARES FOURTH-QUARTER 2016 DIVIDEND CHICAGO, IL ? October 26, 2016 ? CBOE Holdings, Inc. ( |
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| October 21, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Information Circular IC16-056 October 21, 2016 32nd FIA Expo in Chicago Wraps Up ? Yesterday, Andy Lowenthal, Senior Vice President of Busine |
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| October 11, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Strategic Rationale Transaction Overview > Strengthens CBOE Holdings? global position in innovative, tradable products and services > Broaden |
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| October 11, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) The following page was made available on the CBOE Holdings website on October 11, 2016: CBOE ? About CBOE ? Investor Relat ons CBOE/Bats Acqu |
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| October 7, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Information Circular IC16-054 October 7, 2016 The New Asset Class: Investing in Volatility with VIX Futures > On Thursday, October 13, the CB |
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| October 4, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) News Release For Immediate Release CBOE HOLDINGS REPORTS SEPTEMBER 2016 TRADING VOLUME Total ADV Up 25% from August 2016, 3% from Year Ago CH |
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| September 30, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Information Circular IC16-051 September 30, 2016 CBOE Holdings CEO Ed Tilly addresses CBOE employees with Bats CEO Chris Concannon CBOE Holdi |
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| September 29, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| September 28, 2016 |
Exhibit 10.1 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of September 25, 2016 (this ?Agreement?), is entered into by and between CBOE Holdings, Inc., a Delaware corporation (?Parent?), and the undersigned (the ?Stockholder?). W I T N E S S E T H: WHEREAS, Parent, CBOE Corporation, a Delaware corporation and a wholly owned subsidiary of Parent (?Merger Sub?), CBOE V, L |
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| September 28, 2016 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER among CBOE HOLDINGS, INC., CBOE CORPORATION, CBOE V, LLC and BATS GLOBAL MARKETS, INC. Dated as of September 25, 2016 TABLE OF CONTENTS Page ARTICLE I THE MERGER AND THE SUBSEQUENT MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 3 Section 1.4 Subsequent Merger 3 Section 1.5 Directors and Officers of the S |
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| September 28, 2016 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 28, 2016 (September 25, 2016) Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Inco |
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| September 28, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 22, 2016 CBOE HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34774 20-5446972 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 28, 2016 |
Bats Global Markets FORM 8-K (Prospectus) 425 1 dp690218k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 28, 2016 (September 25, 2016) Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State |
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| September 28, 2016 |
Exhibit 10.1 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of September 25, 2016 (this ?Agreement?), is entered into by and between CBOE Holdings, Inc., a Delaware corporation (?Parent?), and the undersigned (the ?Stockholder?). W I T N E S S E T H: WHEREAS, Parent, CBOE Corporation, a Delaware corporation and a wholly owned subsidiary of Parent (?Merger Sub?), CBOE V, L |
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| September 28, 2016 |
Exhibit 10.2 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of September 25, 2016 (this ?Agreement?), is entered into by and between Bats Global Markets, Inc., a Delaware corporation (the ?Company?), and the undersigned (the ?Stockholder?). W I T N E S S E T H: WHEREAS, the Company, CBOE Holdings, Inc., a Delaware corporation (?Parent?), CBOE Corporation, a Delaware corpo |
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| September 28, 2016 |
Exhibit 10.3 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of September 25, 2016 (this “Agreement”), is entered into by and between Bats Global Markets, Inc., a Delaware corporation (the “Company”), and the undersigned (the “Stockholder”). W I T N E S S E T H: WHEREAS, the Company, CBOE Holdings, Inc., a Delaware corporation (“Parent”), CBOE Corporation, a Delaware corpo |
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| September 28, 2016 |
Exhibit 10.1 Execution Version MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED BANK OF AMERICA, N.A. One Bryant Park New York, New York 10036 September 25, 2016 CBOE Holdings, Inc. 400 South LaSalle Street Chicago, IL 60605 Attention: Alan Dean, Executive Vice President and Chief Financial Officer Project Radar Bridge Facility Commitment Letter Ladies and Gentlemen: You (“you” or the “Borrower” |
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| September 28, 2016 |
Exhibit 10.2 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of September 25, 2016 (this “Agreement”), is entered into by and between CBOE Holdings, Inc., a Delaware corporation (“Parent”), and the undersigned (the “Stockholder”). W I T N E S S E T H: WHEREAS, Parent, CBOE Corporation, a Delaware corporation and a wholly owned subsidiary of Parent (“Merger Sub”), CBOE V, L |
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| September 28, 2016 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER among CBOE HOLDINGS, INC., CBOE CORPORATION, CBOE V, LLC and BATS GLOBAL MARKETS, INC. Dated as of September 25, 2016 TABLE OF CONTENTS Page ARTICLE I THE MERGER AND THE SUBSEQUENT MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 3 Section 1.4 Subsequent Merger 3 Section 1.5 Directors and Officers of the S |
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| September 28, 2016 |
EX-2.1 2 dp69021ex0201.htm EXHIBIT 2.1 Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER among CBOE HOLDINGS, INC., CBOE CORPORATION, CBOE V, LLC and BATS GLOBAL MARKETS, INC. Dated as of September 25, 2016 TABLE OF CONTENTS Page ARTICLE I THE MERGER AND THE SUBSEQUENT MERGER 2 Section 1.1 The Merger 2 Section 1.2 Closing 2 Section 1.3 Effective Time 3 Section 1.4 Subsequent Merger 3 Sect |
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| September 28, 2016 |
Exhibit 10.2 VOTING AND SUPPORT AGREEMENT THIS VOTING AND SUPPORT AGREEMENT, dated as of September 25, 2016 (this ?Agreement?), is entered into by and between Bats Global Markets, Inc., a Delaware corporation (the ?Company?), and the undersigned (the ?Stockholder?). W I T N E S S E T H: WHEREAS, the Company, CBOE Holdings, Inc., a Delaware corporation (?Parent?), CBOE Corporation, a Delaware corpo |
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| September 26, 2016 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 26, 2016 (September 25, 2016) Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Inco |
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| September 26, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) 6:50 a.m. CT @CBOE Holdings agrees to acquire @BatsGlobal Markets. Important Info: bit.ly/2d366hg Additional Information Regarding the Transa |
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| September 26, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) This correspondence was distributed on September 26, 2016. September 26, 2016 Dear Valued Customer, I am pleased to inform you that CBOE Hold |
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| September 26, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| September 26, 2016 |
CBOE Holdings 425 (Prospectus) 425 1 a16-1902310425.htm 425 Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Date: September 26, 2016 CBOE/Bats Investor Call Final Transcript PREPARED REMARKS Operator Good morning ladies |
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| September 26, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Date: September 26, 2016 To: All Employees From: Edward Tilly RE: CBOE Holdings Agrees to Acquire Bats Global Markets I am pleased to inform |
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| September 26, 2016 |
Exhibit 99.2 Strengthens CBOEs Global Position in Innovative, Tradable Products and Services September 26, 2016 CBOE Holdings, Inc. Agreement to Acquire Bats Global Markets, Inc. Forward-Looking Statements This presentation contains certain statements regarding intentions, beliefs and expectations or predictions for the future of CBOE Holdings, Inc. (CBOE) and Bats Global Markets, Inc. (Bats) |
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| September 26, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) Ed Tilly Welcome to everyone here in the caf? and to those team members viewing the webcast throughout the building and in our offices in New |
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| September 26, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| September 26, 2016 |
Exhibit 99.2 Strengthens CBOE?s Global Position in Innovative, Tradable Products and Services September 26, 2016 CBOE Holdings, Inc. Agreement to Acquire Bats Global Markets, Inc. 2 CBOE HOLDINGS Forward - Looking Statements This presentation contains certain statements regarding intentions, beliefs and expectations or predictions for the future of CB OE Holdings, Inc. (? CBOE ?) and Bats Global M |
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| September 26, 2016 |
CBOE Holdings 425 (Prospectus) Filed by CBOE Holdings, Inc. (SEC File No. 001-34774) pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Bats Global Markets, Inc. (SEC File No. 001-37732) The following was posted to the CBOE intranet on September 26, 2016. Introduction: Employees continue to be CBOEs biggest asset. During this |
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| September 26, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| September 26, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| September 26, 2016 |
Exhibit 99.1 FOR IMMEDIATE RELEASE CBOE Holdings Agrees to Acquire Bats Global Markets to Strengthen CBOE Holdings? Global Position in Innovative Tradable Products and Services, and Achieve Meaningful Cost and Operational Efficiencies Enhances Diversification Across Global Asset Classes, Including Addition of U.S. and European Cash Equities, Global ETPs and Global FX Utilizes Bats? Leading Proprie |
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| September 26, 2016 |
CBOE Holdings 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 26, 2016 CBOE HOLDINGS, INC. (Exact Name of Registrant as Specified in Charter) Delaware 001-34774 20-5446972 (State or Other Jurisdiction of Incorporation) (Commission File |
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| September 26, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| September 26, 2016 |
Bats Global Markets FORM 425 (Prospectus) Filed Pursuant to Rule 425 of the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934 Filer: Bats Global Markets, Inc. |
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| September 26, 2016 |
Exhibit 99.1 FOR IMMEDIATE RELEASE CBOE Holdings Agrees to Acquire Bats Global Markets to Strengthen CBOE Holdings? Global Position in Innovative Tradable Products and Services, and Achieve Meaningful Cost and Operational Efficiencies Enhances Diversification Across Global Asset Classes, Including Addition of U.S. and European Cash Equities, Global ETPs and Global FX Utilizes Bats? Leading Proprie |
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| September 26, 2016 |
Exhibit 99.1 FOR IMMEDIATE RELEASE CBOE Holdings Agrees to Acquire Bats Global Markets to Strengthen CBOE Holdings? Global Position in Innovative Tradable Products and Services, and Achieve Meaningful Cost and Operational Efficiencies Enhances Diversification Across Global Asset Classes, Including Addition of U.S. and European Cash Equities, Global ETPs and Global FX Utilizes Bats? Leading Proprie |
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| September 26, 2016 |
Exhibit 99.2 Strengthens CBOE?s Global Position in Innovative, Tradable Products and Services September 26, 2016 CBOE Holdings, Inc. Agreement to Acquire Bats Global Markets, Inc. 2 CBOE HOLDINGS Forward - Looking Statements This presentation contains certain statements regarding intentions, beliefs and expectations or predictions for the future of CB OE Holdings, Inc. (? CBOE ?) and Bats Global M |
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| September 26, 2016 |
Bats Global Markets FORM 8-K (Prospectus) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 26, 2016 (September 25, 2016) Bats Global Markets, Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Inco |
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| August 5, 2016 |
BATS GLOBAL MARKETS, INC. 2016 OMNIBUS INCENTIVE PLAN STOCK OPTION AWARD AGREEMENT bats_Ex_10_4 Exhibit 10.4 BATS GLOBAL MARKETS, INC. 2016 OMNIBUS INCENTIVE PLAN STOCK OPTION AWARD AGREEMENT _, 2016 Subject to the terms and conditions set forth in this grant letter (the “Grant Letter”) and Exhibit A (the Grant Letter and Exhibit A together constituting this “Agreement”), Bats Global Markets, Inc., a Delaware corporation (the “Company”), has granted you as of the Grant Date set |
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| August 5, 2016 |
Bats Global Markets 10-Q (Quarterly Report) batsCurrentFolio10Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 5, 2016 |
BATS GLOBAL MARKETS, INC. 2016 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK AWARD Exhibit 10.3 BATS GLOBAL MARKETS, INC. 2016 OMNIBUS INCENTIVE PLAN RESTRICTED STOCK AWARD , 2016 Subject to the terms and conditions set forth in this grant letter (the “Grant Letter”) and Exhibits A and B (the Grant Letter and Exhibits A and B together constituting this “Agreement”), Bats Global Markets, Inc., a Delaware corporation (the “Company”), has granted you as of the Grant Date set forth |
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| August 5, 2016 |
BATS GLOBAL MARKETS, INC. 2016 NON-EMPLOYEE DIRECTORS COMPENSATION PLAN RESTRICTED STOCK AWARD Exhibit 10.2 BATS GLOBAL MARKETS, INC. 2016 NON-EMPLOYEE DIRECTORS COMPENSATION PLAN RESTRICTED STOCK AWARD , 2016 Subject to the terms and conditions set forth in this grant letter (the “Grant Letter”) and Exhibits A and B (the Grant Letter and Exhibits A and B constituting this “Award Agreement”), Bats Global Markets, Inc., a Delaware corporation (the “Company”), has granted you as of the Grant |
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| August 4, 2016 |
8-K 1 bats-20160804x8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 4, 2016 Bats Global Markets, Inc. (Exact Name of Company as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of I |
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| August 4, 2016 |
Bats Reports Second Quarter Total Revenue Growth of 11% Non-Transaction Revenue Drives Growth batsEx991 Exhibit 99.1 Bats Reports Second Quarter Total Revenue Growth of 11% Non-Transaction Revenue Drives Growth KANSAS CITY ? August 4, 2016 ? Bats Global Markets, Inc. (Bats: BATS), a leading global exchange operator and provider of market data and other financial markets services, today reported net income of $18 million and adjusted earnings? of $34 million for the second quarter ended Jun |
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| July 7, 2016 |
Bats Global Markets SC 13G (Passive Acquisition of More Than 5% of Shares) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Bats Global Markets, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 05491G109 (CUSIP Number) June 28, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| July 6, 2016 |
EXHIBIT 24.1 Power of Attorney Know all by these presents that the undersigned hereby make, constitute and appoint each of Daniel Mirtschink and Martin Loll, or either of them acting singly, and with full power of substitution, the undersigneds’ true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in each of the undersigneds’ capacity as an officer and/or director |
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| July 6, 2016 |
EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be r |
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| July 6, 2016 |
EXHIBIT 24.1 Power of Attorney Know all by these presents that the undersigned hereby make, constitute and appoint each of Daniel Mirtschink and Martin Loll, or either of them acting singly, and with full power of substitution, the undersigneds? true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in each of the undersigneds? capacity as an officer and/or director |
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| July 6, 2016 |
BATS / Bats Global Markets, Inc. / Deutsche Boerse Systems, Inc. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Bats Global Markets, Inc. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 05491G109 (CUSIP Number) June 28, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rul |
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| July 1, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2016 Bats Global Markets, Inc. (Exact Name of Company as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| July 1, 2016 |
Exhibit 99.1 MEDIA Stacie Fleming London +44.20.7131.3473 [email protected] INVESTORS Mark Marriott Kansas City +1.913.815.7132 [email protected] Bats Global Markets Successfully Completes Debt Refinancing Transaction Creates Additional Capital Allocation Flexibility; Records Pretax Charge of $18 million KANSAS CITY — June 30, 2016 — Bats Global Markets, Inc. (Bats: BATS), a leading global operator of exch |
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| July 1, 2016 |
SECOND AMENDMENT TO CREDIT AGREEMENT Exhibit 10.1 Execution Version SECOND AMENDMENT TO CREDIT AGREEMENT THIS SECOND AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is dated as of June 30, 2016 and is entered into by and among Bats Global Markets, Inc., a Delaware corporation (the “Borrower”), the Subsidiary Guarantors party hereto, Bank of America, N.A. (“BofA”), as the successor administrative agent (in such capacity, the “Success |
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| May 6, 2016 |
Bats Global Markets 10-Q (Quarterly Report) batsCurrentFolio10Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 5, 2016 |
batsCurrentFolio8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 5, 2016 |
EX-99.1 2 bats-20160505ex991fd8947.htm EX-99.1 Exhibit 99.1 Bats Reports First Quarter Adjusted Earnings† Growth of 77% Sets Records for Net Revenue, Adjusted Earnings Announces Quarterly Cash Dividend of $0.08 per share KANSAS CITY – May 5, 2016 – Bats Global Markets, Inc. (Bats: BATS), a leading global operator of exchanges and services for financial markets, today reported earnings of $30.1 mil |
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| April 20, 2016 |
Bats Global Markets, Inc. Secretary’s Certificate EXHIBIT 24.1 Bats Global Markets, Inc. Secretarys Certificate The undersigned, Eric Swanson, Secretary of Bats Global Markets, Inc., a Delaware corporation (Corporation), does hereby certify that at meetings of the Board of Directors of the Corporation duly held on February 10, 2016 and March 28, 2016, a quorum being present at each, the following resolutions were unanimously adopted: February |
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| April 20, 2016 |
BATS GLOBAL MARKETS, INC. 2016 EMPLOYEE STOCK PURCHASE PLAN EX-99.5 7 a15-2367811ex99d5.htm EX-99.5 EXHIBIT 99.5 BATS GLOBAL MARKETS, INC. 2016 EMPLOYEE STOCK PURCHASE PLAN SECTION 1. Purpose. The purpose of the Bats Global Markets, Inc. 2016 Employee Stock Purchase Plan (the “Plan”) is to attract, retain, motivate and reward employees of Bats Global Markets, Inc., a Delaware corporation (the “Company”) and its Subsidiaries and strengthen the mutuality of |
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| April 20, 2016 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. EX-3.1 2 a15-2367812ex3d1.htm EX-3.1 Exhibit 3.1 CONFORMED COPY As amended by the Certificate of Amendment dated April 20, 2016 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. Bats Global Markets, Inc. (the “Corporation”), a corporation organized and existing under the Delaware General Corporation Law, as amended (“Delaware Law”), does hereby certify as follows: 1. T |
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| April 20, 2016 |
BATS GLOBAL MARKETS, INC. 2016 NON-EMPLOYEE DIRECTORS COMPENSATION PLAN EX-99.4 6 a15-2367811ex99d4.htm EX-99.4 EXHIBIT 99.4 BATS GLOBAL MARKETS, INC. 2016 NON-EMPLOYEE DIRECTORS COMPENSATION PLAN SECTION 1. Purpose. The purpose of the Bats Global Markets, Inc. 2016 Non-Employee Directors Compensation Plan (the “Plan”) is to attract and retain the services of experienced Non-Employee Directors for Bats Global Markets, Inc. (together with its subsidiaries and any and a |
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| April 20, 2016 |
EX-99.3 5 a15-2367811ex99d3.htm EX-99.3 EXHIBIT 99.3 BATS GLOBAL MARKETS, INC. 2016 OMNIBUS INCENTIVE PLAN SECTION 1. Purpose. The purpose of the Bats Global Markets, Inc. 2016 Omnibus Incentive Plan (the “Plan”) is to attract, retain, motivate and reward those employees, officers and Consultants who are expected to contribute significantly to the success of Bats Global Markets, Inc., a Delaware c |
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| April 20, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 20, 2016 Bats Global Markets, Inc. (Exact Name of Company as Specified in Charter) Delaware 001-37732 46-3583191 (State or Other Jurisdiction of Incorporation) (Commission File |
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| April 20, 2016 |
S-8 1 a15-2367811s8.htm S-8 As filed with the Securities and Exchange Commission on April 20, 2016 Registration No. 333- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BATS GLOBAL MARKETS, INC. (Exact Name of Registrant as Specified in its Charter) DELAWARE 6200 46-3583191 (State or Other Jurisdiction of Incorporation or O |
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| April 20, 2016 |
AMENDED AND RESTATED BYLAWS OF BATS GLOBAL MARKETS, INC. Dated as of April 20, 2016 EX-3.2 3 a15-2367812ex3d2.htm EX-3.2 Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF BATS GLOBAL MARKETS, INC. Dated as of April 20, 2016 TABLE OF CONTENTS PAGE Article I OFFICES 1 Section 1.01. Registered Office 1 Section 1.02. Other Offices 1 Article II STOCKHOLDERS MEETINGS 1 Section 2.01. Place of Meetings 1 Section 2.02. Annual Meeting 1 Section 2.03. Special Meetings 4 Section 2.04. Notice of Mee |
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| April 15, 2016 |
POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby constitutes and appoints William P. |
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| April 15, 2016 |
13,300,000 Shares Bats Global Markets, Inc. COMMON STOCK Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents Filed pursuant to Rule 424(b)(4) Registration No. |
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| April 14, 2016 |
BATS GLOBAL MARKETS, INC. 8050 Marshall Drive, Suite 120 Lenexa, KS 66214 April 14, 2016 VIA FACSIMILE AND EDGAR TRANSMISSION U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-0404 Attention: Tom Kluck, Branch Chief Re: Bats Global Markets, Inc. Registration Statement on Form S-1 Filed December 16, 2015 File No. 333-208565 Dear Mr. Kluck: In accordance with Rule 461 u |
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| April 14, 2016 |
As filed with the Securities and Exchange Commission on April 14, 2016 S-1/A 1 a2228256zs-1a.htm S-1/A#3 Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on April 14, 2016 Registration No. 333-208565 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 4 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITI |
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| April 14, 2016 |
CORRESP 1 filename1.htm MORGAN STANLEY & CO. LLC CITIGROUP GLOBAL MARKETS INC. c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o Citigroup Global Markets Inc. 388 Greenwich Street New York, New York 10013 April 14, 2016 Re: Bats Global Markets, Inc. Registration Statement on Form S-1 Registration File No. 333-208565 Securities and Exchange Commission Division of Corporation F |
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| April 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 BATS GLOBAL MARKETS, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware (State of Incorporation or Organization) 46-3583191 (I.R.S. Employer Identification No.) 8050 Marshall Dr |
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| April 4, 2016 |
April 4, 2016 Re: Bats Global Markets, Inc. (the ?Company?) Registration Statement on Form S-1 Registration No. 333- 208565 Tom Kluck Branch Chief Division of Corporation Finance U.S. Securities and Exchange Commission (the ?Commission?) 100 F Street, N.E. Washington, DC 20549-0404 Dear Mr. Kluck: We hereby acknowledge that: ? should the Commission or the Staff, acting pursuant to delegated author |
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| April 4, 2016 |
Exhibit 10.16 FORM OF U.K. EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is dated as of [·], 2016, by and between Bats Global Markets, Inc., a Delaware corporation (the “Company” and together with its subsidiaries and affiliates, “Bats”) and [·] (the “Executive”) (each of the Company and the Executive, a “Party” and collectively, the “Parties”). This Agreement shall be |
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| April 4, 2016 |
EX-10.15 6 a2228057zex-1015.htm EX-10.15 Exhibit 10.15 FORM OF U.S. EXECUTIVE EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) is dated as of [·], 2015, by and between Bats Global Markets, Inc., a Delaware corporation (the “Company” and together with its subsidiaries and affiliates, “Bats”) and [·] (the “Executive”) (each of the Company and the Executive, a “Party” and collectively |
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| April 4, 2016 |
Exhibit 1.1 11,200,000 Shares BATS GLOBAL MARKETS, INC. COMMON STOCK, PAR VALUE $0.01 PER SHARE UNDERWRITING AGREEMENT [ ], 2016 [ ], 2016 Morgan Stanley & Co. LLC Citigroup Global Markets Inc. As representatives of the several Underwriters named in Schedule II hereto c/o Morgan Stanley & Co. LLC 1585 Broadway New York, New York 10036 c/o Citigroup Global Markets Inc. 388 Greenwich Street New York |
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| April 4, 2016 |
Exhibit 4.1 ZQ|CERT#|COY|CLS|RGSTRY|ACCT#|TRANSTYPE|RUN#|TRANS# . VOTING COMMON STOCK PAR VALUE $0.01 VOTING COMMON STOCK THIS CERTIFICATE IS TRANSFERABLE IN CANTON, MA, JERSEY CITY, NJ AND COLLEGE STATION, TX Shares * * 000000 * * * * * * * * * * * * * * * * * * * * * 000000 * * * * * * * * * * * * * * * * * * * * * 000000 * * * * * * * * * * * * * * * * * * * * * 000000 * * * * * * * * * * * * * |
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| April 4, 2016 |
Exhibit 3.5 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. Bats Global Markets, Inc. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follows: First. The Corporation was originally incorporated under the name BATS Global Markets Holdings, |
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| April 4, 2016 |
New York Menlo Park Washington DC S?o Paulo London Paris Madrid Tokyo Beijing Hong Kong Deanna L. |
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| April 4, 2016 |
SUBSIDIARIES OF THE REGISTRANT EX-21.2 8 a2228057zex-212.htm EX-21.2 Exhibit 21.2 SUBSIDIARIES OF THE REGISTRANT NAME OF SUBSIDIARY STATE OR OTHER JURISDICTION OF INCORPORATION OR ORGANIZATION Bats Global Markets Holdings, Inc. Delaware Bats BZX Exchange, Inc. Delaware Bats BYX Exchange, Inc. Delaware Bats EDGX Exchange, Inc. Delaware Bats EDGA Exchange, Inc. Delaware Bats Trading, Inc. Delaware Direct Edge LLC Delaware Bats Ho |
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| April 4, 2016 |
As filed with the Securities and Exchange Commission on April 4, 2016 S-1/A 1 a2228057zs-1a.htm S-1/A#3 Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on April 4, 2016 Registration No. 333-208565 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIE |
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| March 30, 2016 |
New York Menlo Park Washington DC S?o Paulo London Paris Madrid Tokyo Beijing Hong Kong Deanna L. |
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| March 7, 2016 |
FORM OF AMENDED AND RESTATED BYLAWS OF BATS GLOBAL MARKETS, INC. Dated as of April [•], 2016 Exhibit 3.4 FORM OF AMENDED AND RESTATED BYLAWS OF BATS GLOBAL MARKETS, INC. Dated as of April [•], 2016 TABLE OF CONTENTS PAGE Article I OFFICES 1 Section 1.01. Registered Office 1 Section 1.02. Other Offices 1 Article II STOCKHOLDERS MEETINGS 1 Section 2.01. Place of Meetings 1 Section 2.02. Annual Meeting 1 Section 2.03. Special Meetings 4 Section 2.04. Notice of Meetings 5 Section 2.05. Quorum |
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| March 7, 2016 |
FORM OF BATS GLOBAL MARKETS, INC. 2016 EMPLOYEE STOCK PURCHASE PLAN Exhibit 10.13 FORM OF BATS GLOBAL MARKETS, INC. 2016 EMPLOYEE STOCK PURCHASE PLAN Section 1. Purpose. The purpose of the Bats Global Markets, Inc. 2016 Employee Stock Purchase Plan (the “Plan”) is to attract, retain, motivate and reward employees of Bats Global Markets, Inc., a Delaware corporation (the “Company”) and its Subsidiaries and strengthen the mutuality of interests between Company emplo |
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| March 7, 2016 |
FORM OF BATS GLOBAL MARKETS, INC. 2016 OMNIBUS INCENTIVE PLAN Exhibit 10.11 FORM OF BATS GLOBAL MARKETS, INC. 2016 OMNIBUS INCENTIVE PLAN SECTION 1. Purpose. The purpose of the Bats Global Markets, Inc. 2016 Omnibus Incentive Plan (the “Plan”) is to attract, retain, motivate and reward those employees, officers and Consultants who are expected to contribute significantly to the success of Bats Global Markets, Inc., a Delaware corporation (the “Company”), and |
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| March 7, 2016 |
FORM OF BATS GLOBAL MARKETS, INC. 2016 NON-EMPLOYEE DIRECTORS COMPENSATION PLAN Exhibit 10.12 FORM OF BATS GLOBAL MARKETS, INC. 2016 NON-EMPLOYEE DIRECTORS COMPENSATION PLAN Section 1. Purpose. The purpose of the Bats Global Markets, Inc. 2016 Non-Employee Directors Compensation Plan (the “Plan”) is to attract and retain the services of experienced Non-Employee Directors for Bats Global Markets, Inc. (together with its subsidiaries and any and all successor entities, the “Com |
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| March 7, 2016 |
FORM OF BATS GLOBAL MARKETS, INC. CASH INCENTIVE PLAN Exhibit 10.6 FORM OF BATS GLOBAL MARKETS, INC. CASH INCENTIVE PLAN SECTION 1. Purpose. The purpose of the Bats Global Markets, Inc. Cash Incentive Plan (the “Plan”) is to advance the interests of Bats Global Markets, Inc., a Delaware corporation (the “Company”), and its stockholders by recognizing contributions and rewarding performance of employees of the Company and its Affiliates. The Plan was |
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| March 7, 2016 |
As filed with the Securities and Exchange Commission on March 7, 2016 Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on March 7, 2016 Registration No. |
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| March 7, 2016 |
FORM OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. Exhibit 3.2 FORM OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. Name FIRST: The name of the corporation is Bats Global Markets, Inc. (the “Corporation”). Registered Office SECOND: The initial address of the Corporation’s registered office in the State of Delaware is Corporation Trust Center, 1209 Orange Street, City of Wilmington, County of New Castle, Delaware 1 |
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| March 7, 2016 |
New York Paris Menlo Park Madrid Washington DC Tokyo S?o Paulo Beijing London Hong Kong Deanna L. |
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| March 7, 2016 |
BATS GLOBAL MARKETS, INC. NON-EMPLOYEE DIRECTORS COMPENSATION POLICY Effective as of January 1, 2016 Exhibit 10.14 BATS GLOBAL MARKETS, INC. NON-EMPLOYEE DIRECTORS COMPENSATION POLICY Effective as of January 1, 2016 The Board of Directors (the “Board”) of Bats Global Markets, Inc. (the “Company”) has approved this director compensation policy (the “Policy”), which establishes compensation to be paid to each director of the Company who is not an employee of the Company (each, a “Non-Employee Direc |
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| March 7, 2016 |
SUBSIDIARIES OF THE REGISTRANT EX-21.1 9 a2227531zex-211.htm EX-21.1 Exhibit 21.1 SUBSIDIARIES OF THE REGISTRANT NAME OF SUBSIDIARY STATE OR OTHER JURISDICTION OF INCORPORATION OR ORGANIZATION Bats Global Markets Holdings, Inc. Delaware Bats BZX Exchange, Inc. Delaware Bats BYX Exchange, Inc. Delaware Bats EDGX Exchange, Inc. Delaware Bats EDGA Exchange, Inc. Delaware Bats Trading, Inc. Delaware Direct Edge LLC Delaware Bats Ho |
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| January 29, 2016 |
Exhibit 2.1 EXECUTION VERSION SECURITIES PURCHASE AGREEMENT between KNIGHT CAPITAL GROUP, INC. and BATS GLOBAL MARKETS, INC. Dated January 27, 2015 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS 1 1.1. Specific Definitions 1 1.2. Interpretation 18 ARTICLE 2 TERMS OF PURCHASE AND SALE 19 2.1. Shares to Be Purchased 19 2.2. Purchase Price 19 2.3. Estimated Purchase Price 19 ARTICLE 3 CLOSING 20 3.1. C |
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| January 29, 2016 |
Exhibit 10.9 CREDIT AGREEMENT dated as of January 31, 2014 among BATS GLOBAL MARKETS, INC., as Borrower, THE LENDERS PARTY HERETO and CREDIT SUISSE AG, as Administrative Agent and Collateral Agent MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, J.P. MORGAN SECURITIES LLC and CREDIT SUISSE SECURITIES (USA) LLC, as Joint Bookrunners and Joint Lead Arrangers, MERRILL LYNCH, PIERCE, FENNER & SMITH |
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| January 29, 2016 |
FIRST AMENDMENT TO CREDIT AGREEMENT AND FIRST AMENDMENT TO THE GUARANTEE AND COLLATERAL AGREEMENT Exhibit 10.10 FIRST AMENDMENT TO CREDIT AGREEMENT AND FIRST AMENDMENT TO THE GUARANTEE AND COLLATERAL AGREEMENT THIS FIRST AMENDMENT TO CREDIT AGREEMENT AND THE FIRST AMENDMENT TO THE GUARANTEE AND COLLATERAL AGREEMENT (this “Amendment”) is dated as of February 24, 2015 and is entered into by and among BATS Global Markets, Inc., a Delaware corporation (the “Borrower”), JPMorgan Chase Bank, N.A. (“ |
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| January 29, 2016 |
As filed with the Securities and Exchange Commission on January 29, 2016 Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on January 29, 2016 Registration No. |
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| January 29, 2016 |
New York Paris Menlo Park Madrid Washington DC Tokyo S?o Paulo Beijing London Hong Kong Deanna L. |
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| December 16, 2015 |
Exhibit 10.5 BATS GLOBAL MARKETS, INC. THIRD AMENDED AND RESTATED 2012 EQUITY INCENTIVE PLAN RESTRICTED STOCK AWARD , 20 Subject to the terms and conditions set forth in this grant letter (the “Grant Letter”) and Exhibits A, B and C (the Grant Letter and Exhibits A, B and C together constituting this “Agreement”), BATS Global Markets, Inc., a Delaware corporation (the “Company”), has granted you a |
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| December 16, 2015 |
As filed with the Securities and Exchange Commission on December 15, 2015 Use these links to rapidly review the document TABLE OF CONTENTS INDEX TO CONSOLIDATED FINANCIAL STATEMENTS Table of Contents As filed with the Securities and Exchange Commission on December 15, 2015 Registration No. |
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| December 16, 2015 |
AMENDED AND RESTATED BYLAWS OF BATS GLOBAL MARKETS, INC. Dated as of January 31, 2014 Exhibit 3.3 AMENDED AND RESTATED BYLAWS OF BATS GLOBAL MARKETS, INC. Dated as of January 31, 2014 TABLE OF CONTENTS PAGE ARTICLE I OFFICES 1 ARTICLE II STOCKHOLDERS MEETINGS 1 SECTION 2.01. PLACE OF MEETINGS 1 SECTION 2.02. ANNUAL MEETING 1 SECTION 2.03. SPECIAL MEETINGS 3 SECTION 2.04. NOTICE OF MEETINGS 3 SECTION 2.05. QUORUM 4 SECTION 2.06. ADJOURNMENT AND NOTICE OF ADJOURNED MEETINGS 4 SECTION |
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| December 16, 2015 |
Exhibit 10.1 BATS GLOBAL MARKETS, INC. 2009 STOCK OPTION PLAN ADOPTED: APRIL 3, 2009 EFFECTIVE DATE: APRIL 3, 2009 SECTION 1. ESTABLISHMENT AND PURPOSE BATS Global Markets, Inc., a Delaware corporation, does hereby establish and adopt the BATS Global Markets, Inc. 2009 Stock Option Plan, as set forth herein on the date set forth above for the purpose of providing a means by which selected Associat |
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| December 16, 2015 |
EX-10.3 7 a2226675zex-103.htm EX-10.3 Exhibit 10.3 BATS GLOBAL MARKETS, INC. 2009 STOCK OPTION PLAN STOCK OPTION AWARD AGREEMENT This Stock Option Award Agreement (“Agreement”) is made and entered into, as of the Date set forth on the signature page hereto, by and between BATS Global Markets, Inc., a Delaware corporation (the “Company”), and (“Optionee”). R E C I T A L S A. The Company has establi |
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| December 16, 2015 |
Exhibit 4.2 INVESTOR RIGHTS AGREEMENT THIS INVESTOR RIGHTS AGREEMENT (this “Agreement”) is made and entered into effective as of the 31st day of January, 2014, by and among BATS Global Markets, Inc. (f/k/a BATS Global Markets Holdings, Inc.), a Delaware corporation (the “Company”), and all stockholders of the Company signatory hereto or who hereafter become a party to this Agreement (the “Stockhol |
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| December 16, 2015 |
BATS GLOBAL MARKETS, INC. EMPLOYEE STOCK PURCHASE PLAN Exhibit 10.7 BATS GLOBAL MARKETS, INC. EMPLOYEE STOCK PURCHASE PLAN SECTION 1. Purpose of the Plan; Effective Date. 1.1. The name of this plan is the BATS Global Markets, Inc. Employee Stock Purchase Plan (the “Plan”). The purposes of the Plan is to attract, retain, motivate and reward employees of BATS Global Markets, Inc., a Delaware corporation (the “Company”), and its Affiliates and strengthen |
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| December 16, 2015 |
Exhibit 10.2 BATS GLOBAL MARKETS, INC. THIRD AMENDED AND RESTATED 2012 EQUITY INCENTIVE PLAN SECTION 1. Purpose. The purpose of the BATS Global Markets, Inc. Third Amended and Restated 2012 Equity Incentive Plan (the “Plan”) is to attract, retain, motivate and reward those employees, officers, Directors and Consultants who are expected to contribute significantly to the success of BATS Global Mark |
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| December 16, 2015 |
Exhibit 10.4 BATS GLOBAL MARKETS, INC. THIRD AMENDED AND RESTATED 2012 EQUITY INCENTIVE PLAN STOCK OPTION AWARD AGREEMENT , 20 Subject to the terms and conditions set forth in this grant letter (the “Grant Letter”) and Exhibit A (the Grant Letter and Exhibit A together constituting this “Agreement”), BATS Global Markets, Inc., a Delaware corporation (the “Company”), has granted you as of the Grant |
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| December 16, 2015 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF BATS GLOBAL MARKETS, INC. Name FIRST: The name of the Corporation is BATS Global Markets, Inc. (the “Corporation”). Registered Office SECOND: The initial registered office of the Corporation in the State of Delaware is 1209 Orange Street, Wilmington, County of New Castle, Delaware 19801, and the name of its initial registered agent a |
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| December 16, 2015 |
BATS Global Markets, Inc. Share Repurchase Program Executive Summary Exhibit 10.8 BATS Global Markets, Inc. Share Repurchase Program Executive Summary This Executive Summary of the Share Repurchase Program (the “Program”) of BATS Global Markets, Inc. (the “Company”) is intended to provide the Board of Directors of the Company (the “Board”) with an overview of the key parameters of the Program, and is subject to further review and comment by the Board and/or Company |
