Christopher Smith is listed as an executive officer and director on 4 SEC Form D filings by 2 issuers between Jan 2014 and Jan 2017: Joust Labs, Inc. (Austin, TX — other technology — 2016–2017; $4.96M reported sold to 33 investors) and UNIVERSAL BIOSENSORS INC (Victoria, Australia (as filed: C3) — biotechnology — 2014; $985K reported sold to 2 investors).
What this means 2 separate companies raised money with this person listed as executive officer and director, over about 3 years. Across those companies the filings report $5.94M sold in total.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 7 bankruptcy cases matching the name listed in Key records below.
What this means 7 records 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.
We compared 4 public filings for Christopher Smith and found 10 differences: Christopher Smith appears on 1 deal that stopped filing before reaching its target; No amendment in the last 12 months on an offering that may still be open; 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.