Thinkorswim Group INC.
SEC CIK 1145124 · SWIM · last insider filing 2009-06-15
Directors (from insider filings)
| Name | Capacity as filed | Filings |
|---|---|---|
| Meiss Hans VON | Director | filed 2006 - 2009 |
| Barba LEE K | Director · Chairman & CEO | filed 2006 - 2009 |
| Tansill Douglas T | Director | filed 2006 - 2009 |
| Mcfarlan Franklin Warren | Director | filed 2007 - 2009 |
| Sosnoff Tom | Director | filed 2007 - 2009 |
| Sheridan Scott Daniel | Director | filed 2007 - 2009 |
| Polsky Lisa | Director | filed 2007 - 2009 |
| Wood Stephen C | Director | filed 2006 - 2007 |
| Goldsmith Michael H | Director | filed 2006 - 2007 |
Officers (from insider filings)
| Name | Title as filed | Filings |
|---|---|---|
| Helbling Paul A | Sr. VP & Chief Admin. Off. | filed 2006 - 2009 |
| Kane Ida Kathleen | Chief Financial Officer | filed 2006 - 2009 |
| Santori Peter | Chief Legal Officer | filed 2008 - 2009 |
| Scott Andrew B | Senior Vice President | filed 2007 - 2009 |
| Simmonds Ainslie | Chief Mktg & Dev Officer | filed 2007 - 2009 |
| Ainge Dale C | Senior Vice President | filed 2006 - 2007 |
| Gonzalez Nelson Antonio | formerly Sr. VP Operations | filed 2006 - 2006 |
About this record
From the SEC's insider-transaction filings (Forms 3, 4 and 5). Every reporting director and officer carries a Commission-assigned identifier (CIK), so these footprints are identifier-verified - no name matching involved. Insiders file when they transact, so dates are filing dates: "last filed" never means "served until". This layer is not yet joined to the nonprofit register - identity joins ship only after independent review.
Source: SEC Insider Transactions Data Sets (Forms 3/4/5), US Federal Government public domain.