 Material Legal Proceedings
| Ticker |
SWIM (Nasdaq National Mkt) |
Auditor |
KPMG LLP since 2002 |
| IRS Number |
76-0685039 |
CIK Code |
1145124 SEC Filings |
| Fiscal Year End |
December 31st |
Accelerated Filer |
Yes, as of 30 September 2008 (10-Q 2008-11-06) |
| Business Address |
45 ROCKEFELLER PLAZA
SUITE 2012
NEW YORK, NEW YORK 10111
(801) 816-6918 |
Mailing Address |
45 ROCKEFELLER PLAZA
SUITE 2012
NEW YORK, NEW YORK 10111 |
| IPO Year |
2001 |
Company Website |
www.thinkorswim.com
|
| Index |
Member Russell 2000
|
Industry |
SIC: 6211
Security Brokers, Dealers, and Flotation Companies
NAICS: 511199
All Other Publishers
|
| Market Cap |
$392,350,000 |
Shares Outstanding |
66,500,000 |
| Revenue (yr)** |
$380,121,000 |
Float |
55,179,000 |
| Revenue (mrq) |
$98,065,000 |
Short Interest |
3,608,308 (2008/12/10) |
| Earnings (mrq) |
$19,639,000 |
Last Report |
10-Q (2008-11-06) |
| Book Value |
$-139,980,000 |
Last Non-Timely Filing |
NT 10-Q (2007-11-13) More Detail >> |
| Assets |
$511,810,000 |
Last Securities Registration |
S-8 (2008-11-20) |
Financial info as of 2008-09-30. ** Trailing twelve months.
| Restatements More Detail >> |
2007-11-09 PR for the period from 2007-04-01 to 2007-06-30
2007-02-28 8-K for the period from 2006-01-01 to 2006-12-31
2005-02-18 8-K for the period from 2002-01-01 to 2004-09-30
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| Auditor Changes More Detail >> |
2002-07-29 engaged KPMG LLP
2002-07-29 dismissed Arthur Andersen LLP
2002-01-21 engaged Arthur Andersen LLP
2002-01-21 dismissed BDO Seidman LLP
Re: ZiaSun Technologies, Inc
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| Director / Officer Changes More Detail >> |
| 2008-06-09 8-K | | Employment Ceased Andrew B Scott Senior VP | | Appointed Andrew B Scott Vice President | | | 2007-08-27 8-K | | Resigned Michael H Goldsmith Director/ Chairman of Compensation Committee | | | 2007-02-22 8-K | | Resigned Stephen C Wood Director | | Appointed Lisa Polsky Director | | Appointed Tom Sosnoff Director/ President (thinkorswim) | | Appointed Scott Sheridan Director/ Executive VP (thinkorswim) | | | 2005-12-14 8-K | | Appointed Ainslie J Simmonds Senior VP/ Chief Marketing Officer/ Product Development Officer | | | 2005-05-03 8-K | | Resigned Don Klabunde Vice President/ Chief Information Officer | | | 2005-01-19 8-K | | Appointed Paul Helbing Chief Administrative Officer (retains other positions) | | Appointed Ida Kane Senior VP/ CFO | | | 2004-12-13 8-K | | Appointed F Warren McFarlan Director | | | 2004-10-19 8-K | | Employment Ceased Scott K Waltz Senior VP/ Chief Marketing Officer | |
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| Auditor Fees More Detail >> |
| Year |
Audit Fees |
Non-Audit Fees |
Total Fees |
| 2007 | $2,912,000 | $18,000 | $2,930,000 |
| 2006 | $1,569,000 | $295,000 | $1,864,000 |
| 2005 | $1,235,770 | $0 | $1,235,770 |
| 2004 | $1,320,670 | $0 | $1,320,670 |
| 2003 | $175,000 | $0 | $175,000 |
| 2002 | $170,000 | $0 | $170,000 |
| 2001 | $288,000 | $381,000 | $669,000 |
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| Audit Opinions More Detail >> |
| Year |
Auditor |
Auditor Location |
| 2007 | KPMG LLP | Salt Lake City, Utah |
| 2006 | KPMG LLP | Salt Lake City, Utah |
| 2005 | KPMG LLP | Salt Lake City, Utah |
| 2004 | KPMG LLP | Salt Lake City, Utah |
| 2003 | KPMG LLP | Houston, Texas |
| 2002 | KPMG LLP | Houston, Texas |
| 2001 | Arthur Andersen LLP | Houston, Texas |
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| Controls More Detail >> |
| Period |
NT |
ICFR (404) - Auditor |
ICFR (404) - Management |
DC (302) - Management |
CIC (302) - Management |
| 20080930 10-Q | | | | a | q |
| 20080630 10-Q | | | | a | |
| 20080331 10-Q | | | | a | |
| 20071231 10-K | | KPMG LLPa
| a
| a | q |
| 20070930 10-Q | | | | | q |
| 20070630 10-Q | | | | | q |
| 20070331 10-Q | | | | | q |
| 20061231 10-K | | KPMG LLP
|
| | q |
| 20060930 10-Q | | | | | |
| 20060630 10-Q | | | | | |
| 20060331 10-Q | | | | | q |
| 20051231 10-K | | KPMG LLP
|
| | q |
| 20050930 10-Q | | | | | q |
| 20050630 10-Q | | | | | q |
| 20050331 10-Q | | | | | q |
| 20041231 10-K | | KPMG LLP
|
| | q |
| 20040930 10-Q | | | | a | |
| 20040630 10-Q | | | | a | |
| 20040331 10-Q | | | | a | |
| 20031231 10-K | | | | a | |
| 20030930 10-Q | | | | a | |
| 20030630 10-Q | | | | a | |
| 20030331 10-Q | | | | a | |
| 20021231 10-K | | | | a | |
| 20020930 10-Q | | | | a | |
NT = Non-Timely or Late Filing Notification Issued for the Period
ICFR - Auditor = Internal Controls over Financial Reporting (SOX 404) - Auditor's Assessment
ICFR - Management = Internal Controls over Financial Reporting (SOX 404) - Management's Assessment
DC - Management = Disclosure Controls (SOX 302) - Management's Assessment
CIC - Management = Changes in Internal Controls (SOX 302) - Management's Disclosure
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Company Transactions
| Description | Filings | Parties | Value ($) | Commenced | Closed | | Merger Agreement | 8-K 2006-09-20
8-K 2006-09-21
DEFM14A 2006-12-13
8-K 2007-02-22
| | 340,000,000
| 2006-09-18 | 2007-02-15
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