SBSE-A/A 0001436581 XXXXXXXX true false 438800 ING Capital Markets LLC 13-4038437 438800 0001436581 1133 AVENUE OF THE AMERICAS NEW YORK NY 10036 1133 AVENUE OF THE AMERICAS NEW YORK NY 10036 6464246000 Gerard Koske 646-424-6242 gerard.koske@ing.com Suprio Chaudhuri 646-424-6693 suprio.chaudhuri@ing.com ING Capital Markets LLC 438800 Y N N N Y Swap Dealer N ING Capital Markets LLC offers a broad variety of derivative products including total return equity swaps. The total return equity swaps meet the definition of Security Based Swaps and are the primary product requiring registration with the SEC as a Security Based Swap Dealer. This business is run by the Linear Equity Derivatives (LED) desk. This is a customer based business that is comprised of total return swaps and synthetic forwards (put-call combinations). They are typically traded over-the-counter. The underlying asset can be a single stock, a basket of stocks, or an equity index. The product, at a basic level, enables the client to gain long or short exposure to the underlying asset which offers many advantages to trading in the physical securities. The applicant also conducts sales and trading activity in FX, IRD, and Commodities derivatives pursuant to its registration as a Swap Dealer. N N N Y Y ING Capital Markets LLC 438800 Y Y Y Y N N 18 N ING Capital Markets LLC 438800 Christine Ginfrida Managing Director 04/2020 09/2013 N 505299 002911659 Rogerio Iuamoto Managing Director 04/2019 08/2005 N 514483 006990300 Katharyn Meyer CEO 12/2022 04/2017 N 362954 003063186 Petrus Van Gaal Managing Director 04/2014 06/2003 N 452870 005288055 Tyrel Tugade Managing Director 04/2023 11/2021 N NA 555485 007721752 Andrew David Schaeffer Board Member 07/2023 02/2023 N NA 502526 001817568 Matthew Lawrence Rosetti Managing Director 07/2023 08/2015 N NA 557604 004407869 Darren Cicchillo COO 10/2023 07/2007 N 559696 002261428 Johannes Derk Wolvius Board Member 08/2023 12/2018 N 559776 007053218 Michael Robert Kendrot Managing Director 11/2023 09/2023 N NA 559583 002415108 Tarryn Pournara Director 06/2024 08/2023 N 564551 006851413 Linda Benetreu Director 08/2024 08/2024 N NA 566394 006448656 Robyn Elizabeth Zivic Managing Director 06/2025 06/2025 N 395730 005085907 TINA ELEANOR FARINGTON CHIEF FINANCIAL OFFICER 09/2025 06/2025 N NA 572423 008139528 Suprio Chaudhuri Chief Compliance Officer 01/2026 01/2026 N NA 456689 004659711 John Gemayel Director 06/2026 06/2026 N NA 579106 006515320 Timothy Louis Casady Managing Director 07/2026 11/2021 N NA 564355 004606553 Christopher Marshall Whelan Director 09/2026 07/2026 N NA 510861 002167279 ING Capital Markets LLC 438800 AMENDED SEC CIK 0001436581 NFA / CFTC ING Capital Markets LLC engages in interest rate, commodity, foreign exchange, credit default and equity swaps. ING Capital Markets LLC also engages in futures for hedging purposes, however, this business is not client facing. Item 13A KPMG LLC 345 Park Avenue New York NY 10154 10-06-2021 KPMG LLC will audit ING Capital Markets LLC financial statements annually. The audited financial statements will be filed with the CFTC. Item 13B Wells Fargo Securities, LLC 000017438 0336875 500 South Tryon Charlotte NC 28202 12-06-2011 Execution and Clearing Services for Futures Item 13B Goldman Sachs & Co. 801-16048 000000361 0002014 200 West Street New York NY 10282 11-06-2012 Execution and Clearing for Options Item 13B Bank of New York 0420990 0000813905 240 Greenwich Street New York NY 10286 09-01-2017 Custodian for segregated margin Item 13B ING Financial Markets LLC 008-43978 000028872 0000877559 1133 Avenue of the Americas New York NY 10036 05-06-2009 Execution and custodian for equities Item 14 ING Financial Holdings Corporation 1133 Avenue of the Americas New York NY 10036 12-17-1998 100% Parent of ING Capital Markets LLC Item 14 ING Bank N.V. Bijlmerdreef 106 Amsterdam P7 1102 CT 12-17-1998 100% Parent of ING Financial Holdings Corporation Item 14 ING Groep N.V. Bijlmerdreef 106 Amsterdam P7 1102 CT 12-17-1998 100% Parent of ING Bank N.V. ING Groep N.V. is a public issuer Item 15 ING Financial Markets LLC 008-43978 000028872 0000877559 1133 Avenue of the Americas New York NY 10036 12-17-1998 ING Capital Markets LLC sources funding from its broker-dealer affiliate, ING Financial Markets LLC, in the form of margin loans (average is between $2.5BIn and $3BIn) and securities lending transactions (average is ~$3BIn). Item 15 ING Capital LLC 0001279842 1133 Avenue of the Americas New York NY 10036 12-17-1998 ING Capital Markets LLC has a funding relationship with its affiliate, ING Capital LLC. ING Capital Markets LLC borrows from ING Capital LLC on an uncommitted, unsecured basis to finance its day to day funding needs. Funding average is between $4BIn and $6BIn. ING Capital Markets LLC 438800 10-19-2026 ING Capital Markets LLC Suprio Chaudhuri Suprio Chaudhuri Chief Compliance Officer