Alex Barkas is listed as a director on 15 SEC Form D filings by 4 issuers between Apr 2009 and Oct 2011: NEOMEND INC (Irvine, CA — other health care — 2009–2011; $33.1M reported sold to 15 investors), Topica Pharmaceuticals Inc (Los Altos, CA — pharmaceuticals — 2011; $31.5M reported sold to 11 investors), Azelon Pharmaceuticals, Inc. (West Conshohocken, PA — pharmaceuticals — 2009–2011; $9.13M reported sold to 16 investors) and TRANSAVE INC (Monmouth Jct., NJ — biotechnology — 2009–2010; $5.54M reported sold).
What this means A repeat sponsor — 4 separate companies raised money with this person listed as director, over about 2 years. Across those companies the filings report $79.3M sold in total.
Listed alongside Brian MacDonald (6 shared filings), Joseph Zakrzewski (6 shared filings), Albert Cha (5 shared filings), Colin Goddard (5 shared filings), David Renzi (5 shared filings) and 34 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Alex. Each name links to their own page.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 15 public filings for Alex Barkas and found 8 differences, 3 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.