Benjamin Yi is listed as a director on 5 SEC Form D filings by 1 issuer between Oct 2012 and Mar 2014: Oxane Materials Inc (Houston, TX — manufacturing — 2012–2014; $54.4M reported sold to 30 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Andrew Barron (5 shared filings), Christopher Coker (5 shared filings), David Pursell (5 shared filings), George Coyle (5 shared filings), Gregory Williams (5 shared filings) and 5 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Benjamin. Each name links to their own page.
The issuer belongs to the sponsor group Oxane (2 issuers, $7.1M reported sold, 2010–2017).
What this means A sponsor group is one team that sets up a new company for each deal. Oxane has 2 companies on file and $7.1M reported sold in total — the group page shows the whole track record in one place.
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 5 public filings for Benjamin Yi and found 4 differences, 1 worth asking the sponsor about: Paid seller listed without a CRD number: Pareto Securities Inc; 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.