Thinkorswim Group Inc (SWIM1)

Sector:
CONSUMER DISCRETIONARY
Industry:
CONSUMER SERVICES
SIC:
SERVICES-EDUCATIONAL SERVICES
5959 CORPORATE DRIVE HOUSTON, TX 77036

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thinkorswim Group is engaged in providing online brokerage, investor education and related financial products and services for self-directed investors and traders. Co. provides its goods and services through two segments: Brokerage Services, which provides services such as trading execution of equity securities, options, futures, mutual funds, bonds, index products, and foreign exchange; and Investor Education, which through its Investools Inc. subsidiary, provides investor education products and services such as instructor-led synchronous and asynchronous online courses, in-person workshops, one-on-one and one-to-many online coaching programs and telephone, live-chat and email support.

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Funds Holding SWIM1 (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding SWIM1

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Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

WYNNCHURCH PARTNERS IV, L.P.

WYNNCHURCH MANAGEMENT, LTD.

HATHERLY JOHN

  • Director
  • 10% Owner
  • SEE REMARKSSEE REMARKSSEE REMARKS
17,767,168 2021-04-27 0

PAMPLONA CAPITAL PARTNERS V, L.P.

PAMPLONA EQUITY ADVISORS V, LTD

PAMPLONA PE INVESTMENTS MALTA LTD

PAMPLONA CAPITAL MANAGEMENT, LLP

PAMPLONA CAPITAL MANAGEMENT, LLC

PAMPLONA CAPITAL MANAGEMENT (PE) SL

PAMPLONA CAPITAL MANAGEMENT (MONACO) SAM

HALSTED JOHN C.

KNASTER ALEXANDER M

  • Director
  • 10% Owner
  • SEE REMARKSSEE REMARKSSEE REMARKSSEE REMARKSSEE REMARKSSEE REMARKSSEE REMARKSSEE REMARKSSEE REMARKS
61,476,581 2021-04-27 0

WYNNCHURCH CAPITAL PARTNERS IV, L.P.

  • Director
  • 10% Owner
17,247,724 2021-04-27 0

WC PARTNERS EXECUTIVE IV, L.P.

  • Director
  • 10% Owner
519,444 2021-04-27 0

O'BRIEN CHRISTOPHER PATRICK

  • Director
  • 10% Owner
17,767,168 2021-04-27 0

BORSETH J MARK CHIEF FINANCIAL OFFICER

  • Officer
1,149,613 2021-04-22 0

PRUELLAGE WILLIAM M

  • Director
0 2021-04-22 0

CLINE JAMES E

  • Director
505,883 2021-04-22 0

HAWKINSON ALEX

  • Director
483,858 2021-04-22 0

DUVA JASON A GEN. COUNSEL & CHIEF ADMIN OFF

  • Officer
0 2021-04-22 0

EVANS ROBERT DEATON

  • Director
630,991 2021-04-22 0

MORNO-WADE SUZAN

  • Director
0 2021-04-22 0

DHRUV KAUSHAL BHIKHESH CHIEF INFORMATION OFFICER

  • Officer
200,135 2021-04-22 0

FECK MELISSA CLAIRE CHIEF HUMAN RESOURCES OFFICER

  • Officer
530,905 2021-04-22 0

LEAKE JEFF ARNOLD CHIEF OPERATING OFFICER

  • Officer
829,657 2021-04-22 0

LAVEN MARK PHILLIP

  • Director
1,512,199 2021-04-22 0

RAJESKI SCOTT MICHAEL CHIEF EXECUTIVE OFFICER

  • Officer
  • Director
4,422,388 2021-04-22 0

CULP JOEL RICHARD CHIEF MARKETING OFFICER

  • Officer
838,901 2021-04-22 0

SINGER ANDREW DAVID

  • Director
0 2021-04-22 0

KUNCHALA SURAJ VICE PRESIDENT & CONTROLLER

  • Officer
0 2021-04-22 0

COWLEY JOSHUA D. CHIEF COMMERCIAL OFFICER

  • Officer
0 2021-04-22 0

MEISS HANS VON

  • Director
0 2009-06-11 0

HELBLING PAUL A SR. VP & CHIEF ADMIN. OFF.

  • Officer
0 2009-06-11 0

BARBA LEE K CHAIRMAN & CEO

  • Officer
  • Director
0 2009-06-11 0

TANSILL DOUGLAS T

  • Director
0 2009-06-11 0

MCFARLAN FRANKLIN WARREN

  • Director
0 2009-06-11 0

KANE IDA KATHLEEN CHIEF FINANCIAL OFFICER

  • Officer
0 2009-06-11 0

SOSNOFF TOM

  • Director
0 2009-06-11 0

SHERIDAN SCOTT DANIEL

  • Director
0 2009-06-11 0

POLSKY LISA

  • Director
0 2009-06-11 0

SANTORI PETER CHIEF LEGAL OFFICER

  • Officer
0 2009-06-11 0

SIMMONDS AINSLIE CHIEF MKTG & DEV OFFICER

  • Officer
18,087 2009-01-18 0

SCOTT ANDREW B SENIOR VICE PRESIDENT

  • Officer
43,750 2009-01-14 0

WOOD STEPHEN C

  • Director
66,868 2007-01-04 0

GOLDSMITH MICHAEL H

  • Director
74,767 2007-01-04 0

AINGE DALE C SENIOR VICE PRESIDENT

  • Officer
75,000 2007-01-04 0

GONZALEZ NELSON ANTONIO FORMERLY SR. VP OPERATIONS

  • Officer
47,010 2006-03-27 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed
Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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