Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 3:56 AM ET

Brian Underdown

Named as an officer, director or promoter on SEC Form D filings · Ontario, Canada (as filed: A6) · Sep 20, 2010 → Jun 26, 2015

3deals (issuers)

$50.3Mreported sold

41investors

7Form D filings

2010–2015years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: not yet

The short version

Brian Underdown is listed as a director on 7 SEC Form D filings by 3 issuers between Sep 2010 and Jun 2015: LORUS THERAPEUTICS INC (Toronto, Ontario, Canada (as filed: A6) — biotechnology — 2014; $28.3M reported sold to 3 investors), ARGOS THERAPEUTICS INC (Durham, NC — biotechnology — 2010–2013; $22M reported sold to 30 investors) and Formation Biologics Inc. (Toronto, Ontario, Canada (as filed: A6) — biotechnology — 2015; 8 investors reported).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as director, over about 5 years. Across those companies the filings report $50.3M sold in total.

Listed alongside Charles A. Nicolette (5 shared filings), Frederick M. Miesowicz (5 shared filings), Hubert Birner (5 shared filings), Jeffrey D. Abbey (5 shared filings), Philip R. Tracy (5 shared filings) and 23 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Brian. Each name links to their own page.

Public records searched: federal courts (CourtListener / RECAP), state securities regulators (AZ, CA, DE, TX, WA) — 1 bankruptcy case matching the name listed in Key records below. Not yet searched: SEC enforcement releases.

What this means 1 record came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

What the community is saying

Nothing found on Reddit, BiggerPockets or community forums for high-net-worth investors (searched Oct 24, 2026) — search queued; this line updates when it has run.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 2:19 AM 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.

2. Regulatory actions

Not yet searched

What was searched

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.

No SEC search has run yet for this person.

3. Bankruptcies

1 case: 1 closed (disposition not in docket feed)

Brian J Underdown and Deborah C Underdown closed

United States Bankruptcy Court, S.D. Florida. · No. 09-11316 · Filed Jan 27, 2009 · Closed Oct 28, 2014

Role of Brian J Underdown and Deborah C Underdown: Debtor · Outcome: Case closed 2014-10-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (rare in federal dockets); 3 people with this name in Form D filings; court in FL (not a filing state)

What was 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 24, 2026, 2:19 AM 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.

4. Differences between public sources

Not made for individual people — comparisons cover issuers and sponsor groups

5. Money to insiders

1 of 7 offerings reports sales commissions totalling $1,977,500; 0 report finder's fees; 4 report proceeds to related persons totalling $7,950,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jun 26, 2015 D Formation Biologics Inc. File 021-242574	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 24, 2014 D LORUS THERAPEUTICS INC File 021-216147	$1,977,500	$0	$0	RBC Dominion Securities Inc. no CRD number reported via RBC Dominion Securities Inc. Roth Capital Partners, LLC BrokerCheck CRD 15407 ↗ via Roth Capital Partners, LLC (CRD 15407 ↗) Cormark Securities Inc. BrokerCheck CRD 101000 ↗ via Cormark Securities Inc. (CRD 101000 ↗)	EDGAR ↗
Aug 27, 2013 D ARGOS THERAPEUTICS INC File 021-201905	$0	$0	$1,600,000 (est.)	None listed on this filing	EDGAR ↗
Sep 11, 2012 D ARGOS THERAPEUTICS INC File 021-183946	$0	$0	$1,600,000 (est.)	None listed on this filing	EDGAR ↗
Apr 24, 2012 D ARGOS THERAPEUTICS INC File 021-177160	$0	$0	$4,000,000 (est.)	None listed on this filing	EDGAR ↗
Jul 29, 2011 D ARGOS THERAPEUTICS INC File 021-163679	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 20, 2010 D ARGOS THERAPEUTICS INC File 021-147964	$0	$0	$750,000 (est.)	None listed on this filing	EDGAR ↗

How this is counted

Counts come from Form D Items 12–15 on the filings in our index (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.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 3

Every issuer that named Brian Underdown on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Biotechnology

Formation Biologics Inc.

Toronto, Ontario, Canada (as filed: A6) · Jun 26, 2015

Jun 26, 2015 · D · $0 sold of $1,089,770 · 8 investors · min. No minimum reported · role: Director EDGAR ↗

8 investors reported; no amount sold yet as of the latest filing. Brian is listed as director.

Latest filing on EDGAR ↗

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Biotechnology

LORUS THERAPEUTICS INC

Toronto, Ontario, Canada (as filed: A6) · Apr 24, 2014

Apr 24, 2014 · D · $28,250,000 sold of $28,750,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $28.3M from 3 investors (98% of the $28.8M target) as of the latest filing. Brian is listed as director.

Latest filing on EDGAR ↗

Sources

Biotechnology

ARGOS THERAPEUTICS INC

Durham, NC · Sep 20, 2010 → Aug 27, 2013 · 5 filings

Aug 27, 2013 · D · $22,007,404 sold of $60,000,000 · 25 investors · min. No minimum reported · role: Director EDGAR ↗
Sep 11, 2012 · D · $15,978,125 sold of $15,978,125 · 24 investors · min. No minimum reported · role: Director EDGAR ↗
Apr 24, 2012 · D · $9,021,875 sold of $50,000,000 · 30 investors · min. No minimum reported · role: Director EDGAR ↗
Jul 29, 2011 · D · $3,500,000 sold of $3,500,000 · 29 investors · min. No minimum reported · role: Director EDGAR ↗
Sep 20, 2010 · D · $4,852,074 sold of $6,000,000 · 27 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $22M from 30 investors (37% of the $60M target) as of the latest filing. Brian is listed as director on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (2)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

Brian J. Underdown — CA, 1 issuer, Mar 7, 2012 → Jan 31, 2020 · no shared issuer
Brian J Underdown — Ontario, Canada (as filed: A6), 1 issuer, Jul 22, 2009 → Jul 22, 2009 · no shared issuer

People around Brian 28

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

Person

Philip R. Tracy

Director · 5 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Hubert Birner

Director · 5 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Charles A. Nicolette

Executive Officer · 5 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Sander van Deventer

Director · 5 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Jeffrey D. Abbey

Executive Officer, Director · 5 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Frederick M. Miesowicz

Executive Officer · 5 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

B. Jefferson Clark

Director · 3 shared filings (1 issuer) · also on 10 other issuers

B. Jefferson Clark is on 11 issuers in total — a repeat sponsor. Their page lists every one.

Person

David Gryska

Director · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Douglas Plessinger

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Lori Harrelson

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Michel Greco

Director · 2 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Monique Laliberte

Director · 2 shared filings (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Ines Holzbaur

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

WARREN WHITEHEAD

Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Andrei Petrov

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Jean Lamarre

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

David Geoffrey Peter Allan

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

JIM A WRIGHT

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

BRAD THOMPSON

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

GREGORY CHOW

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

DENIS BURGER

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

WILLIAM G RICE

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

MARK VINCENT

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

AVANISH VELLANKI

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Walter Blatter

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Nicolas Stiernholm

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Joerg Gruber

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

Person

Ilia A. Tikhomirov

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Underdown. Their page shows their other deals.

The team behind the deals

Same business address

1 other issuer file from the same address

Proteocyte Diagnostics Inc. Toronto, A6 · 2023

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

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.

Other offering types (Regulation A and Regulation Crowdfunding)

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.

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Toronto, A6). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

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Add a response

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Monitor this person

Members get an email when Brian Underdown appears on a new Form D, or when a court case or SEC action is matched to them. See plans →

Brian Underdown

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

5. Money to insiders

Deals 3

People around Brian 28

The team behind the deals

1 other issuer file from the same address

Registrations and other filings

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person