Daniel F. Carlson

The filing says the first sale was Jan 18, 2013. The Form D was filed Feb 15, 2013 — 28 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 13 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

The filing says the first sale was Jun 9, 2010. The Form D was filed Jul 6, 2010 — 27 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 12 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

No amendment in the last 12 months on an offering that may still be open — QUANTUM MATERIALS CORP. (latest filing Nov 9, 2016) · No amendment in the last 12 months on an offering that may still be open — American Sands Energy Corp. (latest filing Mar 11, 2014) · No amendment in the last 12 months on an offering that may still be open — COLOMBIA ENERGY RESOURCES, INC. (latest filing Feb 15, 2013) · No amendment in the last 12 months on an offering that may still be open — American Sands Energy Corp. (latest filing Mar 19, 2012) · No amendment in the last 12 months on an offering that may still be open — American Sands Energy Corp. (latest filing Jan 23, 2012) · and 2 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Daniel F. Carlson's role changed at COLOMBIA ENERGY RESOURCES, INC.: executive officer, director → director · Daniel F. Carlson's role changed at COLOMBIA ENERGY RESOURCES, INC.: director → executive officer, director · Daniel F. Carlson's role changed at American Sands Energy Corp.: director → executive officer, director · Daniel F. Carlson's role changed at COLOMBIA ENERGY RESOURCES, INC.: executive officer, director → director

What this means Roles on Form D are self-reported. Ask who runs the company today.

The Apr 13, 2016 filing says $2,000,000 offered; the Nov 9, 2016 Form D/A says $3,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

The Nov 12, 2013 filing says $2,000,000 offered; the Mar 11, 2014 Form D/A says $12,777,500.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

The Jul 6, 2010 filing says $2,500,000 offered; the Dec 23, 2010 Form D/A says $8,000,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

The Jul 6, 2010 filing lists a minimum of $100,000; the Dec 23, 2010 Form D/A lists $15,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

listed as "Daniel Carlson" on 6 filings (from Jul 6, 2010), and "Daniel F. Carlson" on 13 filings (from Apr 5, 2011).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

"Other" (Apr 5, 2011 to May 25, 2011); then "Other Energy" (Jun 13, 2011); then "Other" (Jan 23, 2012 to Apr 14, 2014).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

"No Revenues" (Apr 13, 2016); then "$1 - $1,000,000" (Nov 9, 2016).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

"No Revenues" (Jul 6, 2010); then "$1 - $1,000,000" (Jun 11, 2012); then "No Revenues" (Feb 15, 2013).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

This page covers filings where the address state is TX or CA. A separate record, "Daniel Carlson" with address state MA, is listed on 1 filing — most recently by Redemption Rock Brewery, Corp (Aug 19, 2016). The two records do not overlap in time: this page runs Apr 5, 2011 to Apr 14, 2014; the other has one filing dated Aug 19, 2016.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

This page covers filings where the address state is TX or CA. A separate record, "Daniel Frederick Carlson" with address state MA, is listed on 1 filing — most recently by CROSSOVER HEALTHCARE FUND, LLC (Nov 7, 2013). Both records have filings in the same period (Nov 7, 2013).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Address moved from San Rafael, CA to San Francisco, CA — COLOMBIA ENERGY RESOURCES, INC. · Address moved from San Rafael, CA to Salt Lake City, UT — American Sands Energy Corp. · Address moved from San Anselmo, CA to San Rafael, CA — American Sands Energy Corp. · Address moved from San Rafael, CA to San Anselmo, CA — American Sands Energy Corp. · Address moved from Houston, TX to San Rafael, CA — COLOMBIA ENERGY RESOURCES, INC.

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

TX on 3 filings (Jul 6, 2010 to Nov 9, 2016); CA on 16 filings (Dec 23, 2010 to Apr 14, 2014).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.