DAVID SHAW

United States Bankruptcy Court, C.D. California docket "William E End and Anita J End" filed Dec 16, 2002, closed Nov 6, 2007. William End (listed on the same filings) is listed as Debtor ("William E End and Anita J End"). Our match estimate: 70%.

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.

The Jun 20, 2012 Form D/A reports $1,320,000 sold and $250,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "The gross proceeds from the offering of securities will be used to fund general working capital requirements of the issuer and may be used to pay all or a portion of compensation due to the issuer's e".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

The Mar 12, 2012 Form D reports $1,150,000 sold and $250,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "The gross proceeds from the offering of securities will be used to fund general working capital requirements of the issuer and may be used to pay all or a portion of compensation due to the issuer's e".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

The filing says the first sale was May 17, 2012. The Form D was filed Jun 12, 2012 — 26 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 11 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 11, 2010. The Form D was filed Jul 1, 2010 — 20 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 5 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 — Ovation.io, Inc. (latest filing Oct 9, 2020) · No amendment in the last 12 months on an offering that may still be open — Ovation.io, Inc. (latest filing Mar 15, 2019) · No amendment in the last 12 months on an offering that may still be open — Physion LLC (latest filing Jul 13, 2015) · No amendment in the last 12 months on an offering that may still be open — Direct Vet Marketing, Inc. (latest filing May 20, 2011) · No amendment in the last 12 months on an offering that may still be open — FETCH ENTERPRISES INC (latest filing Jul 1, 2010) · and 1 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.

Offering amount changed between filings — Itaconix Corp · Offering amount changed between filings — Direct Vet Marketing, Inc. · Offering amount lowered between filings — IRONWOOD PHARMACEUTICALS INC · Offering amount changed between filings — IRONWOOD PHARMACEUTICALS INC

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

The Mar 12, 2012 filing lists a minimum of $20,000; the Jun 20, 2012 Form D/A lists $10,000.

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

The Sep 3, 2009 filing lists a minimum of $24,999,996; the Nov 17, 2009 Form D lists $0.

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

The Sep 3, 2009 filing lists a minimum of $0; the Sep 3, 2009 Form D lists $24,999,996.

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

listed as "David Shaw" on 17 filings (from Aug 31, 2009), and "David E. Shaw" on 5 filings (from Oct 2, 2009).

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.

"Retailing" (Jul 1, 2010 to Jun 12, 2012); then "Other Health Care" (Jun 12, 2013 to Jul 17, 2015); then "Other" (Jul 24, 2017).

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.

This page covers filings where the address state is MA or NJ or ME. A separate record, "David T. Shaw" with address state OH, is listed on 4 filings — most recently by First Mutual Holding Co. (Jun 23, 2026). Both records have filings in the same period (Feb 8, 2018 to Oct 9, 2020).

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.

This page covers filings where the address state is MA or NJ or ME. A separate record, "David Shaw" with address state A1, is listed on 12 filings — most recently by Medallion Resources Ltd (Sep 8, 2020). Both records have filings in the same period (Aug 30, 2010 to Sep 8, 2020).

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.

This page covers filings where the address state is MA or NJ or ME. A separate record, "David R. Shaw" with address state A6, is listed on 5 filings — most recently by Fiera Capital Corp (Jan 14, 2016). Both records have filings in the same period (Jan 17, 2014 to Jan 14, 2016).

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.

This page covers filings where the address state is MA or NJ or ME. A separate record, "DAVID SHAW" with address state CO, is listed on 1 filing — most recently by MERCER GOLD CORP. (Sep 13, 2010). Both records have filings in the same period (Sep 13, 2010).

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.

This page covers filings where the address state is MA or NJ or ME. A separate record, "David Shaw" with address state NC or TX, is listed on 6 filings — most recently by CONSERT INC (Apr 23, 2012). Both records have filings in the same period (Dec 18, 2009 to Jun 30, 2010).

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.

The people listed on the Jul 16, 2015 filing give Portland, MA; on the Jul 17, 2015 filing they give Portland, ME.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

The people listed on the Mar 20, 2015 filing give Portland, ME; on the Jul 16, 2015 filing they give Portland, MA.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

MA on 9 filings (Aug 31, 2009 to Oct 9, 2020); NJ on 1 filing (Oct 2, 2009); ME on 12 filings (Jul 1, 2010 to Feb 20, 2019).

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.