David Goone is listed as an executive officer and director on 14 SEC Form D filings by 5 issuers between Nov 2011 and May 2026: Intercontinental Exchange, Inc. (Atlanta, GA — other banking and financial services — 2015; $1.67B reported sold to 143 investors), INTERCONTINENTALEXCHANGE INC (Atlanta, GA — other banking and financial services — 2011; $400M reported sold to 33 investors), BAKKT Holdings, LLC (Atlanta, GA — other banking and financial services — 2019; $300M reported sold to 12 investors), Rua Diagnostics Inc. (Westbury, NY — other health care — 2026; $3.65M reported sold to 5 investors) and OPTIONS CLEARING CORP (Chicago, IL — industry reported as "Other" — 2014–2023; $740K reported sold to 2 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as executive officer and director, over about 15 years. Across those companies the filings report $2.38B sold in total.
The issuers belong to 2 sponsor groups: Bakkt (2 issuers, $325M reported sold, 2019–2025) and Korr (11 issuers, $4.65M reported sold, 2015–2026).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 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 14 public filings for David Goone and found 5 differences, 2 worth asking the sponsor about: Form D filed 3,255 days after the first sale; David Goone is no longer listed on the Mar 19, 2024 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.