Dan Broderick is listed as an executive officer and director on 16 SEC Form D filings by 8 issuers between Jun 2011 and Aug 2020. Largest by amount reported sold: Benson Hill, Inc. (St. Louis, MO — other technology — 2013; $159.1M reported sold to 23 investors), Tioma Therapeutics, Inc. (Brisbane, CA — pharmaceuticals — 2015; $33.2M reported sold to 12 investors), Cassidy Turley, Inc. (St. Louis, MO — commercial — 2014; $11.1M reported sold to 68 investors), Nawgan Products, LLC (Saint Louis, MO — industry reported as "Other" — 2011; $6M reported sold to 19 investors), Confluence Life Sciences, Inc. (Saint Louis, MO — other health care — 2012; $4.83M reported sold to 16 investors) and 3 more (all listed below).
What this means A repeat sponsor — 8 separate companies raised money with this person listed as executive officer and director, over about 9 years. Across those companies the filings report $221.4M sold in total.
Listed alongside Diane Seloff (6 shared filings), Mary Jo Gorman (6 shared filings), Robert Boles (6 shared filings), Todd Johnson (6 shared filings), Matthew B Crisp (4 shared filings) and 55 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Dan. Each name links to their own page.
1 of the issuers belongs to the sponsor group Cassidy Turley (3 issuers, $40M reported sold, 2010–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Cassidy Turley has 3 companies on file and $40M 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 (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) — 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 16 public filings for Dan Broderick and found 12 differences, 1 worth asking the sponsor about: 8 Form Ds were filed more than 15 days after the first sale; 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.