Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Bats Global Markets, Inc.BATS · Entity 178237 | Director | February 28, 2017 | March 02, 2017 |
| Definitive Healthcare Corp.DH · Entity 1538 | Director | August 23, 2023 | August 24, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Bats Global Markets, Inc.
Report date February 28, 2017 · Filed March 02, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Spectrum Equity Investors VI, L.P. | 0 |
Reported balance
After 2017-02-28 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-02-28 · Disposition to issuer · Disposed 3,896,035 · Balance 0 F1: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectBy Spectrum VI Co-Investment Fund, L.P. | 0 |
Reported balance
After 2017-02-28 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2017-02-28 · Disposition to issuer · Disposed 1,524 · Balance 0 F1: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. |
| Common StockSEC Table I · non-derivative | IndirectBy Spectrum VI Investment Managers' Fund, L.P. | 0 |
Reported balance
After 2017-02-28 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-02-28 · Disposition to issuer · Disposed 9,416 · Balance 0 F1: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. |
Filing footnotes · ownership attribution and instrument terms
F1: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio").
F2: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest.
Definitive Healthcare Corp.
Report date August 23, 2023 · Filed August 24, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 226,126 |
Reported balance
After 2023-08-23 transaction · row 1
1 source rowRow 1 · 2023-08-23 · Other · Acquired 81,069 · Balance 226,126 F1: Pro rata distribution in kind from SE VII DHC AIV, L.P., of which the Reporting Person is a limited partner. |
Filing footnotes · ownership attribution and instrument terms
F1: Pro rata distribution in kind from SE VII DHC AIV, L.P., of which the Reporting Person is a limited partner.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Cboe Global Markets, Inc.
Report date November 28, 2017 · Filed November 30, 2017
Section 16 reporting ended · disclosed 2017-08-17. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-28 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-11-28 · Other · Disposed 239,300 · Balance 0 F1: Prior to the reported transaction, Spectrum Equity Investors VI, L.P. ("SEI VI") was the holder of record of 239,300 shares. On November 28, 2017, SEI VI distributed 239,300 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, SEI VI was no longer a holder of record of the Issuer's shares. F2: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 0 |
Reported balance
After 2017-11-29 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2017-11-29 · Sale · Disposed 670 · Balance 0 F4: Prior to the reported transaction, Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") was the holder of record of 91 shares and Spectrum VI Investment Managers' Fund, L.P. ("IMF") was the holder of record of 579 shares. F5: The general partner of Co-Investment Fund and IMF is SEA VI LLC. As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | Direct | 8,808 |
Reported balance
After 2017-11-28 transaction · row 2
1 source rowRow 2 · 2017-11-28 · Other · Acquired 7,353 · Balance 8,808 F3: The Reporting Person acquired shares of the Issuer's Common Stock in connection with the above referenced distribution by SEI VI on a pro rata basis to its partners for no consideration. The distribution resulted in a change in form of beneficial ownership of shares previously reported. |
Filing footnotes · ownership attribution and instrument terms
F1: Prior to the reported transaction, Spectrum Equity Investors VI, L.P. ("SEI VI") was the holder of record of 239,300 shares. On November 28, 2017, SEI VI distributed 239,300 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, SEI VI was no longer a holder of record of the Issuer's shares.
F2: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F3: The Reporting Person acquired shares of the Issuer's Common Stock in connection with the above referenced distribution by SEI VI on a pro rata basis to its partners for no consideration. The distribution resulted in a change in form of beneficial ownership of shares previously reported.
F4: Prior to the reported transaction, Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") was the holder of record of 91 shares and Spectrum VI Investment Managers' Fund, L.P. ("IMF") was the holder of record of 579 shares.
F5: The general partner of Co-Investment Fund and IMF is SEA VI LLC. As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 23, 2023 Filed Aug 24, 2023 23:04 UTC | Definitive Healthcare Corp. DH · Entity 1538 | OtherClass A Common Stock | 81,069 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-23-044451 · ownership.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 226,126 F1 · kind: Pro rata distribution in kind from SE VII DHC AIV, L.P., of which the Reporting Person is a limited partner. Read SEC document |
| May 11, 2023 Filed May 15, 2023 20:05 UTC | Definitive Healthcare Corp. DH · Entity 1538 | OtherClass A Common Stock | 76,309 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-23-012954 · doc4.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 145,057 F1 · kind: Pro rata distribution in kind from SE VII DHC AIV, L.P., of which the Reporting Person is a limited partner. Read SEC document |
| May 10, 2022 Filed May 12, 2022 21:26 UTC | Definitive Healthcare Corp. DH · Entity 1538 | OtherClass A Common Stock | 64,667 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-017786 · doc4.xml · nonDerivative · entry 2 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,748 F2 · kind: Pro rata distribution in kind from SE VII DHC AIV, L.P., of which the Reporting Person is a limited partner. Read SEC document |
| May 10, 2022 Filed May 12, 2022 21:26 UTC | Definitive Healthcare Corp. DH · Entity 1538 | OtherClass A Common Stock | 4,081 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-22-017786 · doc4.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,081 F1 · kind: Pro rata distribution in kind from SE VII DHC AIV Feeder, L.P., of which the Reporting Person is a limited partner. Read SEC document |
| November 29, 2017 Filed Nov 30, 2017 18:24 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 670 | $120.89 | $80,994.83 |
DisclosureSEC source: 0001012975-17-000884 · edgar.xml · nonDerivative · entry 3 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F4 · ownership.nature: Prior to the reported transaction, Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") was the holder of record of 91 shares and Spectrum VI Investment Managers' Fund, L.P. ("IMF") was the holder of record of 579 shares. F5 · ownership.nature: The general partner of Co-Investment Fund and IMF is SEA VI LLC. As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 18:24 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | OtherCommon Stock | 7,353 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000884 · edgar.xml · nonDerivative · entry 2 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,808 F3 · kind: The Reporting Person acquired shares of the Issuer's Common Stock in connection with the above referenced distribution by SEI VI on a pro rata basis to its partners for no consideration. The distribution resulted in a change in form of beneficial ownership of shares previously reported. F3 · price: The Reporting Person acquired shares of the Issuer's Common Stock in connection with the above referenced distribution by SEI VI on a pro rata basis to its partners for no consideration. The distribution resulted in a change in form of beneficial ownership of shares previously reported. Read SEC document |
| November 28, 2017 Filed Nov 30, 2017 18:24 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | OtherCommon Stock | 239,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000884 · edgar.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 F1 · kind: Prior to the reported transaction, Spectrum Equity Investors VI, L.P. ("SEI VI") was the holder of record of 239,300 shares. On November 28, 2017, SEI VI distributed 239,300 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, SEI VI was no longer a holder of record of the Issuer's shares. F1 · price: Prior to the reported transaction, Spectrum Equity Investors VI, L.P. ("SEI VI") was the holder of record of 239,300 shares. On November 28, 2017, SEI VI distributed 239,300 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, SEI VI was no longer a holder of record of the Issuer's shares. F1 · ownership.nature: Prior to the reported transaction, Spectrum Equity Investors VI, L.P. ("SEI VI") was the holder of record of 239,300 shares. On November 28, 2017, SEI VI distributed 239,300 shares of the Issuer's Common Stock on a pro rata basis to its partners for no consideration. Following the distribution, SEI VI was no longer a holder of record of the Issuer's shares. F2 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| August 15, 2017 Filed Aug 17, 2017 19:12 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 200,000 | $97.65 | $19,529,920.00 |
DisclosureSEC source: 0001012975-17-000633 · edgar.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 239,970 F1 · price: The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $97.21 to $98.05 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Spectrum Equity Investors VI, L.P. ("SEI VI") is the holder of record of 239,300 shares, Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") is the holder of record of 91 shares and Spectrum VI Investment Managers' Fund, L.P. ("IMF") is the holder of record of 579 shares following the reported transaction. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| June 09, 2017 Filed Jun 12, 2017 18:06 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 69,589 | $89.35 | $6,217,811.94 |
DisclosureSEC source: 0001012975-17-000490 · edgar.xml · nonDerivative · entry 2 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 439,970 F4 · price: The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $89.00 to $89.63 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares sold at each separate price. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. F5 · ownership.nature: SEI VI is the holder of record of 438,740 shares, Co-Investment Fund is the holder of record of 169 shares and IMF is the holder of record of 1,061 shares following the reported transaction. Read SEC document |
| June 08, 2017 Filed Jun 12, 2017 18:06 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 155,411 | $89.09 | $13,845,954.52 |
DisclosureSEC source: 0001012975-17-000490 · edgar.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 509,559 F1 · price: The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $89.00 to $89.68 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Spectrum Equity Investors VI, L.P. ("SEI VI") is the holder of record of 508,133 shares, Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") is the holder of record of 197 shares and Spectrum VI Investment Managers' Fund, L.P. ("IMF") is the holder of record of 1,229 shares following the reported transaction. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. As a member and manager of SEA VI LLC, the Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. Read SEC document |
| May 18, 2017 Filed May 22, 2017 17:46 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantCommon Stock | 1,185 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-007747 · edgar.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,455 F1 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan, which meets the requirements of Rule 16b-3. Read SEC document |
| March 07, 2017 Filed Mar 7, 2017 18:36 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 47,816 | $78.16 | $3,737,284.22 |
DisclosureSEC source: 0001012975-17-000197 · edgar.xml · nonDerivative · entry 4 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 664,970 F8 · price: The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $77.83 to $78.38 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares sold at each separate price. F4 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. F9 · ownership.nature: SEI VI is the holder of record of 663,110 shares, Co-Investment Fund is the holder of record of 257 shares and IMF is the holder of record of 1,603 shares following the reported transaction. Read SEC document |
| March 06, 2017 Filed Mar 7, 2017 18:36 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 171,184 | $78.20 | $13,386,554.56 |
DisclosureSEC source: 0001012975-17-000197 · edgar.xml · nonDerivative · entry 3 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 712,786 F6 · price: The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $78.00 to $78.53 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares sold at each separate price. F4 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. F7 · ownership.nature: SEI VI is the holder of record of 710,792 shares, Co-Investment Fund is the holder of record of 276 shares and IMF is the holder of record of 1,718 shares following the reported transaction. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 18:36 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 1,000 | $78.56 | $78,563.80 |
DisclosureSEC source: 0001012975-17-000197 · edgar.xml · nonDerivative · entry 2 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 883,970 F5 · price: The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $78.50 to $78.62 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares sold at each separate price. F3 · ownership.nature: SEI VI is the holder of record of 881,497 shares, Co-Investment Fund is the holder of record of 343 shares and IMF is the holder of record of 2,130 shares following the reported transaction. F4 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 18:36 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | SaleCommon Stock | 250,000 | $78.32 | $19,580,150.00 |
DisclosureSEC source: 0001012975-17-000197 · edgar.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 884,970 F1 · price: The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $77.71 to $78.62 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: Spectrum Equity Investors VI, L.P. ("SEI VI") is the holder of record of 882,493 shares, Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") is the holder of record of 344 shares and Spectrum VI Investment Managers' Fund, L.P. ("IMF") is the holder of record of 2,133 shares following the reported transaction. F4 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:14 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantCommon Stock | 270 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-013637 · a4.xml · nonDerivative · entry 2 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,135,240 F4 · price: Represents a restricted stock award granted under the Company's Second Amended and Restated Long-Term Incentive Plan. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 20:14 UTC | Cboe Global Markets, Inc. CBOE · Entity 3134 | GrantCommon Stock | 1,134,970 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-013637 · a4.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,134,970 F1 · shares: Received upon conversion of 3,906,975 shares of Bats Global Markets, Inc. ("Bats") common stock pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016, by and among CBOE Holdings, Inc. ("CBOE Holdings"), CBOE Corporation, CBOE V, LLC and Bats. On the effective date of the merger, the closing price of CBOE Holdings' common stock was $78.05 per share, and the closing price of Bats' common stock was $35.13. F1 · price: Received upon conversion of 3,906,975 shares of Bats Global Markets, Inc. ("Bats") common stock pursuant to the Agreement and Plan of Merger, dated as of September 25, 2016, by and among CBOE Holdings, Inc. ("CBOE Holdings"), CBOE Corporation, CBOE V, LLC and Bats. On the effective date of the merger, the closing price of CBOE Holdings' common stock was $78.05 per share, and the closing price of Bats' common stock was $35.13. F2 · ownership.nature: Spectrum Equity Investors VI, L.P. is the holder of record of 1,131,793 shares, Spectrum VI Co-Investment Fund, L.P. is the holder of record of 442 shares and Spectrum VI Investment Managers' Fund, L.P. is the holder of record of 2,735 shares. F3 · ownership.nature: The general partner of Spectrum Investors VI, L.P. is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 10:35 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Disposition to issuerCommon Stock | 9,416 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000185 · edgar.xml · nonDerivative · entry 3 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum VI Investment Managers' Fund, L.P. Disclosed balance after: 0 F1 · shares: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F1 · price: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 10:35 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Disposition to issuerCommon Stock | 1,524 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000185 · edgar.xml · nonDerivative · entry 2 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum VI Co-Investment Fund, L.P. Disclosed balance after: 0 F1 · shares: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F1 · price: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| February 28, 2017 Filed Mar 2, 2017 10:35 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | Disposition to issuerCommon Stock | 3,896,035 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001012975-17-000185 · edgar.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum Equity Investors VI, L.P. Disclosed balance after: 0 F1 · shares: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F1 · price: As of the effective time (the "Effective Time") of the transactions contemplated by the Agreement and Plan of Merger by and among the Issuer, CBOE Holdings, Inc. ("CBOE"), CBOE Corporation and CBOE V, LLC, dated as of September 25, 2016 (the "Merger Agreement"), each outstanding share of common stock of the Issuer ("Common Stock") was canceled and converted into the right to receive (i) 0.3201 of a share of common stock of CBOE, par value $0.01 per share ("CBOE Common Stock") and $10.00 in cash, (ii) an amount of cash, without interest, equal to the sum of (a) $10 and (b) the product obtained by multiplying 0.3201 by the volume-weighted average price of shares of CBOE Common Stock for the period of the ten consecutive trading days ending on the second full trading day prior to the Effective Time (the "Closing VWAP"), or (iii) a number of shares of CBOE Common Stock equal to the sum of (a) 0.3201 and (b) the quotient obtained by dividing $10 by the Closing VWAP (the "Exchange Ratio"). F2 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of Spectrum VI Investment Managers' Fund, L.P. and Spectrum VI Co-Investment Fund, L.P. is SEA VI LLC. The Reporting Person may be deemed to share the voting and dispositive power over securities beneficially owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 16:09 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | SaleCommon Stock | 88,384 | $31.20 | $2,757,642.67 |
DisclosureSEC source: 0001012975-16-001603 · edgar.xml · nonDerivative · entry 6 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum Equity Investors VI, L.P. Disclosed balance after: 3,896,035 F4 · price: The price reflected is the weighted-average sale price for shares purchased. The range of sale prices for the transactions reported was $31.20 to $31.22 per share. The reporting person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares purchased at each separate price. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share voting and dispositive power over securities beneficiallly owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 16:09 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | SaleCommon Stock | 35 | $31.20 | $1,092.02 |
DisclosureSEC source: 0001012975-16-001603 · edgar.xml · nonDerivative · entry 5 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum VI Co-Investment Fund, L.P. Disclosed balance after: 1,524 F4 · price: The price reflected is the weighted-average sale price for shares purchased. The range of sale prices for the transactions reported was $31.20 to $31.22 per share. The reporting person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares purchased at each separate price. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share voting and dispositive power over securities beneficiallly owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| November 22, 2016 Filed Nov 23, 2016 16:09 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | SaleCommon Stock | 214 | $31.20 | $6,676.95 |
DisclosureSEC source: 0001012975-16-001603 · edgar.xml · nonDerivative · entry 4 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum VI Investment Managers' Fund, L.P. Disclosed balance after: 9,416 F4 · price: The price reflected is the weighted-average sale price for shares purchased. The range of sale prices for the transactions reported was $31.20 to $31.22 per share. The reporting person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares purchased at each separate price. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share voting and dispositive power over securities beneficiallly owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 16:09 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | SaleCommon Stock | 1,859,633 | $31.21 | $58,035,054.74 |
DisclosureSEC source: 0001012975-16-001603 · edgar.xml · nonDerivative · entry 3 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum Equity Investors VI, L.P. Disclosed balance after: 3,984,419 F1 · price: The price reflected is the weighted-average sale price for shares purchased. The range of sale prices for the transactions reported was $31.18 to $31.26 per share. The reporting person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares purchased at each separate price. F2 · balance_after: On August 31, 2016, in connection with the liquidation of BGM Holding, L.P. ("BGM"), BGM distributed all of the Issuer's shares that it held to its limited partners, including Spectrum Equity Investors VI, L.P. ("SEI VI") and BGM Spectrum Aggregator LLC ("Aggregator"), in accordance with BGM's Amended and Restated Limited Partnership Agreement. The Aggregator then distributed the shares it received from BGM to Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") and Spectrum VI Investment Managers' Fund, L.P. ("IMF"). SEI VI, Co-Investment Fund and IMF received 5,844,052 shares, 2,286 shares and 14,123 shares, respectively, in the distribution. The Reporting Person did not report the distribution in reliance on the exemption from reporting provided by Rule 16a-13 under the Securities Exchange Act of 1934. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share voting and dispositive power over securities beneficiallly owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 16:09 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | SaleCommon Stock | 727 | $31.21 | $22,688.07 |
DisclosureSEC source: 0001012975-16-001603 · edgar.xml · nonDerivative · entry 2 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum VI Co-Investment Fund, L.P. Disclosed balance after: 1,559 F1 · price: The price reflected is the weighted-average sale price for shares purchased. The range of sale prices for the transactions reported was $31.18 to $31.26 per share. The reporting person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares purchased at each separate price. F2 · balance_after: On August 31, 2016, in connection with the liquidation of BGM Holding, L.P. ("BGM"), BGM distributed all of the Issuer's shares that it held to its limited partners, including Spectrum Equity Investors VI, L.P. ("SEI VI") and BGM Spectrum Aggregator LLC ("Aggregator"), in accordance with BGM's Amended and Restated Limited Partnership Agreement. The Aggregator then distributed the shares it received from BGM to Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") and Spectrum VI Investment Managers' Fund, L.P. ("IMF"). SEI VI, Co-Investment Fund and IMF received 5,844,052 shares, 2,286 shares and 14,123 shares, respectively, in the distribution. The Reporting Person did not report the distribution in reliance on the exemption from reporting provided by Rule 16a-13 under the Securities Exchange Act of 1934. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share voting and dispositive power over securities beneficiallly owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
| November 21, 2016 Filed Nov 23, 2016 16:09 UTC | Bats Global Markets, Inc. BATS · Entity 178237 | SaleCommon Stock | 4,493 | $31.21 | $140,216.65 |
DisclosureSEC source: 0001012975-16-001603 · edgar.xml · nonDerivative · entry 1 Mitchell Christopher · CIK 0001425004 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Spectrum VI Investment Managers' Fund, L.P. Disclosed balance after: 9,630 F1 · price: The price reflected is the weighted-average sale price for shares purchased. The range of sale prices for the transactions reported was $31.18 to $31.26 per share. The reporting person undertakes to provide, upon request by the SEC staff, full information regarding the number of shares purchased at each separate price. F2 · balance_after: On August 31, 2016, in connection with the liquidation of BGM Holding, L.P. ("BGM"), BGM distributed all of the Issuer's shares that it held to its limited partners, including Spectrum Equity Investors VI, L.P. ("SEI VI") and BGM Spectrum Aggregator LLC ("Aggregator"), in accordance with BGM's Amended and Restated Limited Partnership Agreement. The Aggregator then distributed the shares it received from BGM to Spectrum VI Co-Investment Fund, L.P. ("Co-Investment Fund") and Spectrum VI Investment Managers' Fund, L.P. ("IMF"). SEI VI, Co-Investment Fund and IMF received 5,844,052 shares, 2,286 shares and 14,123 shares, respectively, in the distribution. The Reporting Person did not report the distribution in reliance on the exemption from reporting provided by Rule 16a-13 under the Securities Exchange Act of 1934. F3 · ownership.nature: The general partner of SEI VI is Spectrum Equity Associates VI, L.P., the general partner of which is SEA VI Management, LLC ("SEA VI LLC"). The general partner of IMF and Co-Investment Fund is SEA VI LLC. The Reporting Person may be deemed to share voting and dispositive power over securities beneficiallly owned by SEA VI LLC. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.