Sponsor Check › Issuer
Corporation · organized in CALIFORNIA · formed more than five years before filing · COSTA MESA, CA · SEC CIK 1109546
Data last updated: Oct 23, 2026, 5:45 PM ET · Latest filing by this issuer: May 28, 2013 · Courts (RECAP) last checked: Oct 23, 2026, 11:54 PM ET · SEC enforcement last checked: not yet
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
1 case: 1 closed (disposition not in docket feed)
850 Securities/Commodities· Cause:
15:78m(a) Securities Exchange Act
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:54 PM ET. Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
Not yet searched.
Search queued. Results are added automatically; check back later or follow this page to be notified.
None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:54 PM ET.
State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
No public statement by this issuer has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this issuer yet.
2 of 5 offerings report sales commissions totalling $2,250,000; 0 report finder's fees; 0 report proceeds to related persons.
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | May 28, 2013 D File 021-197088 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 7, 2012 D File 021-177734 | $1,578,000 | $0 | $0 | Keefe, Bruyette & Woods, Inc. BrokerCheck CRD 481 ↗ |
| EDGAR ↗ | Sep 12, 2011 D File 021-165630 | $672,000 | $0 | $0 | Keefe, Bruyette & Woods, Inc. BrokerCheck CRD 481 ↗ |
| EDGAR ↗ | Jul 19, 2011 D File 021-163086 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 13, 2010 D/A File 021-136962 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
0 recorded documents and 0 ownership records matched to PACIFIC MERCANTILE BANCORP in the sources searched.
Not searched: property records are matched on business-entity names only, and this issuer's Form D name does not carry one, so nothing was looked up and nothing can be said either way.
Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Hillsborough County FL (recorded documents from Oct 14, 2026 forward; ownership from FL DOR roll 2026); Cook County IL (assessor ownership and deed/sale records, looked up per issuer when its page is viewed); Harris County TX and Dallas County TX (assessor ownership rolls only, 2026 roll; no deed, mortgage or sale records); Miami-Dade County FL (ownership from FL DOR roll only; Clerk recorded documents not yet searched). Recorder indexes for TX, AZ, IL and WA counties, mortgages and liens outside NYC and FL, lis pendens and foreclosure notices everywhere, Miami-Dade County FL recorded documents, Maricopa County AZ, King County WA, Salt Lake County UT, and all other counties are not yet searched. Last refresh by source: Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 23, 2026, 8:58 PM ET; Harris County Appraisal District real_acct.txt Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Dade 23) Oct 23, 2026, 8:58 PM ET; Florida DOR NAL roll (Hillsborough 39) Oct 23, 2026, 8:54 PM ET. NYC and Cook County are looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 12:48 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.
Each filing as reported by the issuer, newest first. Open a row for the full plain-English detail. D = original notice, D/A = amendment.
| File no. | Original Form D | Latest filing | Amendments | Offered (latest) | Sold (latest) | Industry (latest) |
|---|---|---|---|---|---|---|
| 021-197088 | May 28, 2013 EDGAR ↗ | May 28, 2013 D EDGAR ↗ | 0 | $14,999,998 | $14,999,998 | Commercial Banking |
| 021-177734 | May 7, 2012 EDGAR ↗ | May 7, 2012 D EDGAR ↗ | 0 | $26,395,160 | $26,395,160 | Commercial Banking |
| 021-165630 | Sep 12, 2011 EDGAR ↗ | Sep 12, 2011 D EDGAR ↗ | 0 | $11,200,000 | $11,200,000 | Commercial Banking |
| 021-163086 | Jul 19, 2011 EDGAR ↗ | Jul 19, 2011 D EDGAR ↗ | 0 | $1,767,107 | $1,767,107 | Commercial Banking |
| 021-136962 | Dec 16, 2009 EDGAR ↗ | Oct 13, 2010 D/A EDGAR ↗ | 2 latest Oct 13, 2010 | $15,500,000 | $12,655,000 | Commercial Banking |
Offerings are grouped by SEC file number; rows without a file number (not yet retrieved from EDGAR) are shown as their own offering until the link is fetched.
| Filing | Form D filed May 28, 2013 SEC file no. 021-197088 · accession 0001109546-13-000001 |
|---|---|
| Raise progress | $14,999,998 sold of $14,999,998 offered (100%) · $0 remaining · first sale Mar 30, 2013 Issuer's note: February 2013 Stock Purchase Agreement |
| Filing timing | Date of first sale: Mar 30, 2013 · Form D filed: May 28, 2013 (59 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 4,956 days (13.6 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 2 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity |
| Entity details | Organized in CALIFORNIA · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Commercial Banking |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Nancy A. Gray, Senior Executive Vice President and Chief Financial Officer (May 24, 2013) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed May 7, 2012 SEC file no. 021-177734 · accession 0001109546-12-000001 |
|---|---|
| Raise progress | $26,395,160 sold of $26,395,160 offered (100%) · $0 remaining · first sale Apr 20, 2012 Issuer's note: Issuance of shares of Common Stock and Warrants to purchase Common Stock. |
| Filing timing | Date of first sale: Apr 20, 2012 · Form D filed: May 7, 2012 (17 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 5,300 days (14.5 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 3 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity; Option, warrant or other right to acquire |
| Entity details | Organized in CALIFORNIA · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Commercial Banking |
| Who is paid to sell it | Keefe, Bruyette & Woods, Inc. — FINRA BrokerCheck CRD 481 ↗ Solicits in: CA |
| Money to insiders | Sales commissions: $1,578,000 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Nancy A. Gray, Senior Executive Vice President and Chief Financial Officer (May 4, 2012) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Sep 12, 2011 SEC file no. 021-165630 · accession 0001109546-11-000007 |
|---|---|
| Raise progress | $11,200,000 sold of $11,200,000 offered (100%) · $0 remaining · first sale Aug 26, 2011 Issuer's note: Issuance of shares of Series B Convertible 8.4% Noncumulative Preferred Stock and the shares of Common Stock issuable upon the conversion thereof. |
| Filing timing | Date of first sale: Aug 26, 2011 · Form D filed: Sep 12, 2011 (17 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 5,538 days (15.2 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 3 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $0 as filed (no minimum reported) |
| Securities offered | Equity |
| Entity details | Organized in CALIFORNIA · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Commercial Banking |
| Who is paid to sell it | Keefe, Bruyette & Woods, Inc. — FINRA BrokerCheck CRD 481 ↗ Solicits in: CA, NY |
| Money to insiders | Sales commissions: $672,000 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 Issuer's note: Sales commission does not include reimbursable expenses, yet to be determined. |
| Signed by | Nancy A. Gray, Senior Executive Vice President and Chief Financial Officer (Aug 26, 2011) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Jul 19, 2011 SEC file no. 021-163086 · accession 0001109546-11-000006 |
|---|---|
| Raise progress | $1,767,107 sold of $1,767,107 offered (100%) · $0 remaining · first sale Jul 1, 2011 Issuer's note: Issuance of shares of Common Stock in payment of accrued dividends on Series A Preferred Stock. |
| Filing timing | Date of first sale: Jul 1, 2011 · Form D filed: Jul 19, 2011 (18 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 5,594 days (15.3 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. No amendment for this offering in our index (filings 2008 → Oct 22, 2026; checked Oct 23, 2026, 5:45 PM ET). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 35 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $5,000 |
| Securities offered | Equity |
| Entity details | Organized in CALIFORNIA · formed more than five years before filing · revenue range: Decline to Disclose (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Commercial Banking |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Nancy A. Gray, Senior Executive Vice President and Chief Financial Officer (Jul 18, 2011) |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D/A (amendment) filed Oct 13, 2010 · amends 0001181431-10-002868 ↗ SEC file no. 021-136962 · accession 0001181431-10-050769 · filing 3 of 3 in this offering |
|---|---|
| Raise progress | $12,655,000 sold of $15,500,000 offered (82%) · $2,845,000 remaining · first sale Nov 27, 2009 |
| Filing timing | Date of first sale: Nov 27, 2009 · Original Form D filed: Dec 16, 2009 (19 days after first sale) · This amendment (Form D/A) filed: Oct 13, 2010 This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn. |
| Time since first sale | 6,175 days (16.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Oct 13, 2010. Most recent amendment for this offering in our index: this filing, Oct 13, 2010. Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 31 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $100,000 |
| Securities offered | Equity |
| Entity details | Organized in CALIFORNIA · formed more than five years before filing · revenue range: $25,000,001 - $100,000,000 (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Commercial Banking |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Nancy A. Gray, Senior Executive Vice President and Chief Financial Officer (Oct 7, 2010) Signed by an authorized representative. |
| Changes vs previous filing |
Compared with the D/A filed Jan 13, 2010 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn. |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D/A (amendment) filed Jan 13, 2010 · amends 0001181431-09-057003 ↗ SEC file no. 021-136962 · accession 0001181431-10-002868 · filing 2 of 3 in this offering |
|---|---|
| Raise progress | $8,250,000 sold of $15,500,000 offered (53%) · $7,250,000 remaining · first sale Nov 27, 2009 |
| Filing timing | Date of first sale: Nov 27, 2009 · Original Form D filed: Dec 16, 2009 (19 days after first sale) · This amendment (Form D/A) filed: Jan 13, 2010 This row is an amendment. Rule: the original Form D is generally due within 15 days after the first sale; the rule sets no deadline measured from an amendment. Dates shown as reported; no conclusion is drawn. |
| Time since first sale | 6,175 days (16.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. This filing is an amendment dated Jan 13, 2010. Most recent amendment for this offering in our index: Oct 13, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 18 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $100,000 |
| Securities offered | Equity |
| Entity details | Organized in CALIFORNIA · formed more than five years before filing · revenue range: $25,000,001 - $100,000,000 (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Commercial Banking |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Nancy A. Gray, Senior Executive Vice President and Chief Financial Officer (Jan 11, 2010) Signed by an authorized representative. |
| Changes vs previous filing |
Compared with the D filed Dec 16, 2009 (EDGAR ↗). Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Amendment history as filed; no conclusion is drawn. |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Filing | Form D filed Dec 16, 2009 SEC file no. 021-136962 · accession 0001181431-09-057003 · filing 1 of 3 in this offering |
|---|---|
| Raise progress | $6,900,000 sold of $15,500,000 offered (45%) · $8,600,000 remaining · first sale Nov 27, 2009 |
| Filing timing | Date of first sale: Nov 27, 2009 · Form D filed: Dec 16, 2009 (19 days after first sale) Rule: a Form D is generally due within 15 days after the first sale. Both dates are shown as reported; no conclusion is drawn. |
| Time since first sale | 6,175 days (16.9 years) |
| Annual amendments | Issuer reported the offering is not expected to last more than one year. Most recent amendment for this offering in our index: Oct 13, 2010 (EDGAR ↗). Rule: an ongoing offering generally files an amendment at least annually. Dates shown as reported; no conclusion is drawn. |
| Investors | 11 total · issuer reported no non-accredited investors |
| Exemption claimed | Rule 506 (filed before Sept 2013, when 506 was split into 506(b) and 506(c)) |
| Minimum investment accepted | $100,000 |
| Securities offered | Equity |
| Entity details | Organized in CALIFORNIA · formed more than five years before filing · revenue range: $25,000,001 - $100,000,000 (state and year as reported on the issuer's latest filing) As reported by the issuer on Form D (Items 1–2 and 5). |
| Industry | Commercial Banking |
| Who is paid to sell it | No sales compensation recipients listed on this filing. |
| Money to insiders | Sales commissions: $0 · Finder's fees: $0 · Proceeds to officers, directors, promoters: $0 |
| Signed by | Nancy A. Gray, Senior Executive Vice President and Chief Financial Officer (Dec 16, 2009) Signed by an authorized representative. |
| Market context | Not computed — the exemption as filed is Rule 506 before the Sept 2013 split into 506(b) and 506(c) (see Exemption claimed); ranges are computed only for offerings claiming Rule 506(b) or 506(c), compared with the last 5 years of filings. |
| Source | This filing on SEC EDGAR ↗ · retrieved from the SEC Form D bulk data set · PartnerFacts data last updated Oct 23, 2026, 5:45 PM ET |
| Amendment filed | File no. | Compared with | What changed (both values as filed) |
|---|---|---|---|
| Oct 13, 2010 EDGAR ↗ | 021-136962 | Jan 13, 2010 D/A | total sold: $8,250,000 (Jan 13, 2010) → $12,655,000 (Oct 13, 2010) · remaining: $7,250,000 (Jan 13, 2010) → $2,845,000 (Oct 13, 2010) · investors: 18 (Jan 13, 2010) → 31 (Oct 13, 2010) |
| Jan 13, 2010 EDGAR ↗ | 021-136962 | Dec 16, 2009 D | total sold: $6,900,000 (Dec 16, 2009) → $8,250,000 (Jan 13, 2010) · remaining: $8,600,000 (Dec 16, 2009) → $7,250,000 (Jan 13, 2010) · investors: 11 (Dec 16, 2009) → 18 (Jan 13, 2010) |
Fields compared: total sold, total offering, remaining, investors, non-accredited investors (count), non-accredited investors reported, minimum investment, sales commissions, finder's fees, proceeds to insiders, date of first sale, industry, fund type, exemption, revenue range, net asset value range, securities offered, may last more than one year, related persons, sales-compensation recipients. Values as filed; no conclusion is drawn.
All Form D filings for this CIK on SEC EDGAR ↗. History: 0 new offerings in the last 12 months (new offering = a Form D that is not an amendment) · most recent filing May 28, 2013. Industry as reported, by offering: All 5 offerings reported: Commercial Banking (2009–2013).
| Name | Relationship | Address state | On filings (first → last) | Also listed on |
|---|---|---|---|---|
| Andrew Phillips | Director | CA | Jul 19, 2011 → May 28, 2013 on 4 of 7 filings listed on the latest filing | — |
| Daniel A. Strauss | Director | CA | May 7, 2012 → May 28, 2013 on 2 of 7 filings listed on the latest filing | — |
| Edward J. Carpenter | Director | CA | May 28, 2013 on 1 of 7 filings listed on the latest filing | 2 other issuers |
| Gary M. Williams also filed as Gary M Williams | Director | CA | Dec 16, 2009 → May 28, 2013 on 7 of 7 filings listed on the latest filing | — |
| George L. Argyros | Director | CA | Jul 19, 2011 → May 28, 2013 on 4 of 7 filings listed on the latest filing | — |
| John Clark | Director | CA | May 28, 2013 on 1 of 7 filings listed on the latest filing | 4 other issuers |
| John D. Flemming | Director | CA | May 28, 2013 on 1 of 7 filings listed on the latest filing | 3 other issuers |
| John Thomas | Director | CA | Dec 16, 2009 → May 28, 2013 on 7 of 7 filings listed on the latest filing | 14 other issuers |
| Michael P. Hoopis | Director | CA | May 28, 2013 on 1 of 7 filings listed on the latest filing | — |
| Nancy A. Gray also filed as Nancy A Gray | Executive Officer | CA | Dec 16, 2009 → May 28, 2013 on 7 of 7 filings listed on the latest filing | — |
| Raymond E. Dellerba also filed as Raymond E Dellerba | Executive Officer, Director | CA | Dec 16, 2009 → May 28, 2013 on 7 of 7 filings listed on the latest filing | — |
| Stephen Yost | Director | CA | May 28, 2013 on 1 of 7 filings listed on the latest filing | — |
| Steven K. Buster | Executive Officer, Director | CA | May 28, 2013 on 1 of 7 filings listed on the latest filing | 1 other issuer |
| Warren T. Finley also filed as Warren T Finley | Director | CA | Dec 16, 2009 → May 28, 2013 on 7 of 7 filings listed on the latest filing | — |
| George H. Wells also filed as George H Wells | Director | CA | Dec 16, 2009 → May 7, 2012 on 6 of 7 filings not listed on the latest filing (May 28, 2013) | — |
| Gordon Rausser | Director | CA | Jul 19, 2011 → Sep 12, 2011 on 2 of 7 filings not listed on the latest filing (May 28, 2013) | 1 other issuer |
| Matthew F. Schafnitz also filed as Matthew F Schafnitz | Director | CA | Dec 16, 2009 → Sep 12, 2011 on 5 of 7 filings not listed on the latest filing (May 28, 2013) | — |
Executive officers, directors and promoters as self-reported by the issuer, one row per person. Spellings of the same name (same first and last name, or the same full name that EDGAR split differently into middle and last name) with no conflicting middle initial are shown on one row (none on this issuer); dates and counts come from the filings that list each name. Licensed persons: FINRA BrokerCheck ↗ · SEC IAPD ↗. Middle names: the SEC Form D data set (RELATEDPERSONS.tsv) repeats the previous person's middle name into later rows of the same filing; where that happened PartnerFacts shows the name without the repeated middle name and keeps the data-set spelling on record (Andrew M. Phillips; John P. Clark; John F Thomas; John F. Thomas; John A. Thomas; Stephen P. Yost; Gordon L. Rausser) — the filing on EDGAR is the source.
Other issuers listing the same people:
Shared address: this business address appears on no other issuer's filings in our index. As of Oct 23, 2026, 5:45 PM ET.
None found in sources searched.
Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.
Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.
Not yet searched.
Sources to be searched: the sponsor's website (none on record yet; a sponsor's website is known only from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim or Form ADV Item 1.I of its matched adviser — we never look it up elsewhere) for Meta Pixel ids and Facebook / Instagram page links; Meta Ad Library API: not yet searched (API access pending). We never read facebook.com or instagram.com; readers get a link to Meta's public Ad Library instead.
Not found in sources searched.
Sources searched for a website: Form C data set (issuer websites as filed), Form ADV data set (Item 1.I of matched advisers) — as of Oct 23, 2026, 11:20 PM ET: none on file for this issuer. The sponsor website, the Internet Archive and GDELT news index are read only once a site is on file; a sponsor's website is known only from the issuer's own filings (Form C issuer website; EDGAR company profile), an approved profile claim or Form ADV Item 1.I of its matched adviser — we never look it up elsewhere. We never collect personal or family accounts.
Entity standing: not checked (no official programmatic source for CA yet).
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