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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:31 AM ET

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DK
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Daniel Kaplan

Named as an officer, director or promoter on SEC Form D filings · CA · Jul 17, 2024 → Jul 17, 2024

1deal (issuers)
$142Mreported sold
26investors
1Form D filing
2024year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:57 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Daniel Kaplan is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Jul 2024: NGM Bio Holdings, Inc. (South San Francisco, CA — biotechnology — 2024; $142M reported sold to 26 investors).

What this means One deal on file with the SEC, filed Jul 2024. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Carole Ho (1 shared filing), David Goeddel (1 shared filing), David J. Woodhouse (1 shared filing), Hsiao D. Lieu (1 shared filing), Jean-Frederic Viret (1 shared filing) and 6 others.

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

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) — 1 SEC release, 11 bankruptcy cases matching the name listed in Key records below.

What this means 12 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 1 public filing for Daniel Kaplan and found 6 differences, 2 worth asking the sponsor about: Bankruptcy case: Daniel J. Kaplan; Daniel Kaplan is no longer listed on the Mar 27, 2026 amendment; 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.

What the community is saying

Community search for Daniel Kaplan has not run yet — it is joining a line of 23,117 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

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 — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:57 AM ET.

State courts: not covered (one-tap state court links under Look further). 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

1 SEC release

Adam S. Kaplan and Daniel E. Kaplan Litigation release
SEC · Mar 3, 2023 · Parties as named in the release: Adam S. Kaplan and Daniel E. Kaplan Read the release ↗
same full name in the release title; 4 people with this name in Form D filings; the person's filing state is not named
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. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Daniel Kaplan..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

11 cases: 11 closed (disposition not in docket feed)

Daniel S. Kaplan and Catherine T. Kaplan closed
United States Bankruptcy Court, D. New Hampshire · No. 15-10450 · Filed Mar 25, 2015 · Closed Jul 8, 2015
Role of Daniel S. Kaplan and Catherine T. Kaplan: Debtor · Outcome: Case closed 2015-07-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in NH (not a filing state)
Daniel J. Kaplan closed
United States Bankruptcy Court, M.D. Florida · No. 8:14-bk-01548 · Filed Feb 12, 2014 · Closed May 28, 2015
Role of Daniel J. Kaplan: Debtor · Outcome: Case closed 2015-05-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)
Daniel Kaplan closed
United States Bankruptcy Court, E.D. New York · No. 1-13-42882 · Filed May 13, 2013 · Closed Aug 21, 2013
Role of Daniel Kaplan: Debtor · Outcome: Case closed 2013-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in NY (not a filing state)
Daniel Kaplan closed
United States Bankruptcy Court, D. Massachusetts · No. 12-17474 · Filed Sep 12, 2012 · Closed Dec 17, 2012
Role of Daniel Kaplan: Debtor · Outcome: Case closed 2012-12-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in MA (not a filing state)
Daniel I. Kaplan closed
United States Bankruptcy Court, D. Massachusetts · No. 10-19082 · Filed Aug 23, 2010 · Closed Jun 20, 2011
Role of Daniel I. Kaplan: Debtor · Outcome: Case closed 2011-06-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in MA (not a filing state)
Daniel Kaplan closed
United States Bankruptcy Court, N.D. Ohio · No. 05-22460 · Filed Aug 18, 2005 · Closed Nov 18, 2005
Role of Daniel Kaplan: Debtor · Outcome: Case closed 2005-11-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in OH (not a filing state)
DANIEL J. KAPLAN closed
United States Bankruptcy Court, D. Nevada · No. 03-23664 · Filed Nov 5, 2003 · Closed Mar 24, 2004
Role of DANIEL J. KAPLAN: Debtor · Outcome: Case closed 2004-03-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in NV (not a filing state)
Daniel J. Kaplan closed
United States Bankruptcy Court, N.D. California · No. 01-33046 · Filed Nov 29, 2001 · Closed Feb 26, 2002
Role of Daniel J. Kaplan: Debtor · Outcome: Case closed 2002-02-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (CA)
Daniel M. Kaplan and Maryann Bove-Kaplan closed
United States Bankruptcy Court, D. New Jersey · No. 98-31078 · Filed Jan 28, 1998 · Closed May 13, 1998
Role of Daniel M. Kaplan and Maryann Bove-Kaplan: Debtor · Outcome: Case closed 1998-05-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)
Daniel N. Kaplan closed
United States Bankruptcy Court, D. Maine · No. 94-10256 · Filed May 4, 1994 · Closed Aug 2, 1995
Role of Daniel N. Kaplan: Debtor · Outcome: Case closed 1995-08-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in ME (not a filing state)
Daniel P. Kaplan and Catherine M. Kaplan closed
United States Bankruptcy Court, D. Connecticut · No. 91-52040 · Filed Jul 30, 1991 · Closed Mar 27, 1992
Role of Daniel P. Kaplan and Catherine M. Kaplan: Debtor · Outcome: Case closed 1992-03-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 13 federal dockets); 4 people with this name in Form D filings; court in CT (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 covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:57 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.

State courts: not covered (one-tap state court links under Look further). 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

6 differences found between the filings for Daniel Kaplan — 2 worth asking about (compared 1 filing on Oct 24, 2026)

Worth asking · Nov 29, 2001 – Feb 26, 2002

Bankruptcy case: Daniel J. Kaplan — filed Nov 29, 2001

United States Bankruptcy Court, N.D. California docket "Daniel J. Kaplan" filed Nov 29, 2001, closed Feb 26, 2002. Daniel Kaplan is listed as Debtor ("Daniel J. Kaplan"). Our match estimate: 44%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, N.D. California ↗
Sources
Worth asking · Jul 17, 2024 – Mar 27, 2026

Daniel Kaplan is no longer listed on the Mar 27, 2026 amendment — NGM Bio Holdings, Inc.

Daniel Kaplan appears on the Jul 17, 2024 Form D (executive officer) but not on the Mar 27, 2026 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D · Jul 17, 2024 ↗Form D/A · Mar 27, 2026 ↗Daniel Kaplan — PartnerFacts page ↗NGM Bio Holdings, Inc. — PartnerFacts page ↗
Sources
Note · Jul 17, 2024 – Mar 27, 2026

Offering amount changed between filings — NGM Bio Holdings, Inc.

The Jul 17, 2024 filing says $122,039,949 offered; the Mar 27, 2026 Form D/A says $142,039,949.

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.

Form D (earlier) · Jul 17, 2024 ↗Form D/A (later) · Mar 27, 2026 ↗NGM Bio Holdings, Inc. — PartnerFacts page ↗
Sources
Note · Apr 27, 2026

Same name, different state: "Daniel Kaplan" (ME) is a separate record

This page covers filings where the address state is CA. A separate record, "Daniel Kaplan" with address state ME, is listed on 1 filing — most recently by Heartstone Farm, Inc. (Apr 27, 2026). The two records do not overlap in time: this page has one filing dated Jul 17, 2024; the other has one filing dated Apr 27, 2026.

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.

Daniel Kaplan (ME) — PartnerFacts page ↗Form D · Apr 27, 2026 ↗Heartstone Farm, Inc. — PartnerFacts page ↗Daniel Kaplan (CA) — this page ↗
Sources
Note · Nov 16, 2020 – Feb 11, 2026

Same name, different state: "Daniel Kaplan" (FL) is a separate record

This page covers filings where the address state is CA. A separate record, "Daniel Kaplan" with address state FL, is listed on 12 filings — most recently by PMG 400 Biscayne 2025 Preferred, LLC (Feb 11, 2026). Both records have filings in the same period (Jul 17, 2024).

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.

Daniel Kaplan (FL) — PartnerFacts page ↗Form D · Feb 11, 2026 ↗PMG 400 Biscayne 2025 Preferred, LLC — PartnerFacts page ↗Daniel Kaplan (CA) — this page ↗
Sources
Note · Feb 2, 2010 – Apr 12, 2012

Same name, different state: "Daniel Kaplan" (MA) is a separate record

This page covers filings where the address state is CA. A separate record, "Daniel Kaplan" with address state MA, is listed on 3 filings — most recently by Powerhouse Dynamics, Inc. (Apr 12, 2012). The two records do not overlap in time: this page has one filing dated Jul 17, 2024; the other runs Feb 2, 2010 to Apr 12, 2012.

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.

Daniel Kaplan (MA) — PartnerFacts page ↗Form D · Apr 12, 2012 ↗Powerhouse Dynamics, Inc. — PartnerFacts page ↗Daniel Kaplan (CA) — this page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 17, 2024 D
NGM Bio Holdings, Inc.
File 021-519045
$0$0$0None listed on this filingEDGAR ↗

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 1

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

NB
Biotechnology

NGM Bio Holdings, Inc.

South San Francisco, CA · Jul 17, 2024
  • Jul 17, 2024 · D · $73,223,979 sold of $122,039,949 · 25 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $142M from 26 investors (100% of the $122M target) as of the latest filing. Daniel is listed as executive officer.

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.

Other pages with the same name (3)

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

  • Daniel Kaplan — FL, 12 issuers, Nov 16, 2020 → Feb 11, 2026 · no shared issuer
  • Daniel Kaplan — MA, 1 issuer, Feb 2, 2010 → Apr 12, 2012 · no shared issuer
  • Daniel Kaplan — ME, 1 issuer, Apr 27, 2026 → Apr 27, 2026 · no shared issuer

People around Daniel 11

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

PS
No photo found yet (own website and image search run after this page is viewed)
Person

Peter Svennilson

Director · 1 shared filing (1 issuer) · also on 20 other issuers

Peter Svennilson is on 21 issuers in total — a repeat sponsor. Their page lists every one.

JV
No photo found yet (own website and image search run after this page is viewed)
Person

Jean-Frederic Viret

Executive Officer · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

DG
No photo found yet (own website and image search run after this page is viewed)
Person

David Goeddel

Director · 1 shared filing (1 issuer) · also on 19 other issuers

David Goeddel is on 20 issuers in total — a repeat sponsor. Their page lists every one.

SG
No photo found yet (own website and image search run after this page is viewed)
Person

Shelly D. Guyer

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

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

RP
No photo found yet (own website and image search run after this page is viewed)
Person

Roger M. Perlmutter

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

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

HL
No photo found yet (own website and image search run after this page is viewed)
Person

Hsiao D. Lieu

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

WR
No photo found yet (own website and image search run after this page is viewed)
Person

William J. Rieflin

Director · 1 shared filing (1 issuer) · also on 6 other issuers

William J. Rieflin is on 7 issuers in total — a repeat sponsor. Their page lists every one.

CH
No photo found yet (own website and image search run after this page is viewed)
Person

Carole Ho

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

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

KC
No photo found yet (own website and image search run after this page is viewed)
Person

Kara Calhoun

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

DW
No photo found yet (own website and image search run after this page is viewed)
Person

David J. Woodhouse

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

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

VP
No photo found yet (own website and image search run after this page is viewed)
Person

Valerie Pierce

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Daniel Kaplan. Their page shows their other deals.

The team behind the deals

Same business address

10 other issuers file from the same address

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)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

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 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Daniel Kaplan by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Daniel Kaplan is listed on: none on file. No website or social profile named in NGM Bio Holdings, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #34,544 of 374,652 in line (1,164 issuers searched so far). One-tap searches: Look further ↓

Look further

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

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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