Dave Chen is listed as a director on 4 SEC Form D filings by 1 issuer between Feb 2020 and Sep 2020: AppHarvest, Inc. (Lexington, KY — other technology — 2020; $28.1M reported sold to 22 investors).
What this means One deal on file with the SEC, filed Sep 2020. 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 Greg Couch (4 shared filings), Jeffrey Ubben (4 shared filings), Jonathan Webb (4 shared filings), Kiran Bhatraju (4 shared filings), Anna Mason (1 shared filing) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Dave. Each name links to their own page.
The issuer belongs to the sponsor group Appharvest (2 issuers, $28.1M reported sold, 2020–2021).
What this means A sponsor group is one team that sets up a new company for each deal. Appharvest has 2 companies on file and $28.1M 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 4 public filings for Dave Chen and found 4 differences, 1 worth asking the sponsor about: 4 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.