Sponsor Check › Person
Related person on Form D filings · address states as listed: TX, CA · listed May 18, 2010 → Sep 9, 2024
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: not yet · SEC enforcement last checked: not yet
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Sources to be searched: CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
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.
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Sources to be searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
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.
Comparisons are made for sponsors and sponsor groups, not individual people.
3 of 10 offerings report sales commissions totalling $4,397,612; 1 reports finder's fees totalling $7,500; 3 report proceeds to related persons totalling $2,086,768. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Sep 9, 2024 D File 021-523517 | $0 | $0 | $726,768 (est.) | None listed on this filing |
| EDGAR ↗ | Jan 16, 2024 D/A File 021-432909 | $0 | $7,500 (est.) | $1,170,000 (est.) The invested funds are being used to fund operating expenses. The payments described in Item 16 above include estimated salary payments to executive officers described in Item 3 above. | 16 Points LLC BrokerCheck CRD 277033 ↗ |
| EDGAR ↗ | Sep 28, 2023 D/A File 021-484223 | $0 | $0 | $0 (est.) Some of the proceeds will be used for the payment of regularly scheduled salaries and other compensation to some of the individuals listed in item 3. | None listed on this filing |
| EDGAR ↗ | Mar 11, 2021 D File 021-391977 | $17,612 | $0 | $0 | 16 Points LLC BrokerCheck CRD 277033 ↗ |
| EDGAR ↗ | Feb 24, 2020 D/A File 021-307159 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 11, 2018 D File 021-303001 | $0 | $0 | $190,000 (est.) | None listed on this filing |
| EDGAR ↗ | May 6, 2016 D File 021-262718 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 22, 2013 D File 021-204987 | $3,840,000 | $0 | $0 Funding of the Company's operations | Jonathan Fassberg BrokerCheck CRD 2445289 ↗ via Trout Capital LLC (CRD 131489 ↗) Jefferies LLC BrokerCheck CRD 2347 ↗ via Jefferies LLC (CRD 2347 ↗) Piper Jaffray & Co. BrokerCheck CRD 665 ↗ via Piper Jaffray & Co. (CRD 665 ↗) |
| EDGAR ↗ | May 16, 2013 D File 021-196583 | $540,000 | $0 | $0 Funding of the Company's operations | Jonathan Fassberg BrokerCheck CRD 2445289 ↗ via Trout Capital LLC (CRD 131489 ↗) |
| EDGAR ↗ | May 18, 2010 D File 021-142228 | $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.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Sep 9, 2024 | D | Indefinite similar: $2,000,000–$19,999,994 | $10,280,435 | 15 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Jan 16, 2024 | D/A | Indefinite similar: $2,000,000–$19,999,994 | $3,661,000 | 11 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Sep 28, 2023 | D/A | Indefinite similar: $2,000,000–$19,999,994 | $1,500,000 | 2 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Jun 14, 2023 | D | Indefinite similar: $2,000,000–$19,999,994 | $300,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Feb 10, 2023 | D/A | Indefinite similar: $2,000,000–$19,999,994 | $3,511,000 | 11 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Jan 27, 2023 | D/A | Indefinite similar: $2,000,000–$19,999,994 | $3,511,000 | 11 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Feb 9, 2022 | D | Indefinite similar: $2,000,000–$19,999,994 | $2,211,000 | 3 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Mar 11, 2021 | D | $3,500,000 similar: $2,000,000–$19,999,994 | $3,500,000 | 21 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Feb 24, 2020 | D/A | Indefinite similar: $2,000,000–$19,999,994 | $6,099,391 | 22 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Feb 26, 2019 | D/A | Indefinite similar: $2,000,000–$19,999,994 | $5,544,392 | 15 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | Mar 7, 2018 | D | Indefinite similar: $2,000,000–$19,999,994 | $4,000,003 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Vapogenix, Inc. | Director | Jan 11, 2018 | D | $1,633,764 similar: $1,694,259–$16,000,000 | $1,633,764 | 7 similar: 1–13 | $20,000 similar: $10,000–$55,000 |
| EDGAR ↗ | Pulmotect, Inc. group: Fannin | Director | May 6, 2016 | D | $2,500,250 similar: $2,000,000–$19,999,994 | $1,751,430 | 5 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ARROWHEAD RESEARCH CORP | Executive Officer | Oct 22, 2013 | D | $64,000,000 similar: $2,000,000–$19,999,994 | $64,000,000 | 11 similar: 2–16 | $3,000,000 similar: $10,000–$50,000 |
| EDGAR ↗ | ARROWHEAD RESEARCH CORP | Executive Officer | May 16, 2013 | D | $36,000,000 similar: $2,000,000–$19,999,994 | $36,000,000 | 16 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Leonardo Biosystems, Inc. | Executive Officer | May 18, 2010 | D | $2,500,000 similar: $1,100,015–$10,001,163 | $1,250,000 | 1 similar: 2–14 | $1,250,000 similar: $5,000–$50,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); Pharmaceuticals / 506(b) (800 filings); Other Technology / 506(b) (17,390 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.
Not linked to this profile — a second identifier (same issuer, same sponsor group) was not found. Could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Bruce Given. Source: the EDGAR rows in the table above.
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.
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