David Mauney is listed as an executive officer and director on 25 SEC Form D filings by 11 issuers between Jul 2009 and Oct 2022. Largest by amount reported sold: Deepcell, Inc. (Menlo Park, CA — biotechnology — 2022; $73M reported sold to 16 investors), TRIA Beauty, Inc. (Dublin, CA — other health care — 2010–2014; $40.5M reported sold to 38 investors), Simpirica Spine, Inc. (San Carlos, CA — other technology — 2011–2014; $15M reported sold to 4 investors), Genten Therapeutics, Inc. (San Francisco, CA — biotechnology — 2016; $12M reported sold to 3 investors), CRS Bio, Inc. (San Francisco, CA — biotechnology — 2016; $8.4M reported sold to 3 investors) and 6 more (all listed below).
What this means That is a lot of deals — 11 separate companies raised money with this person listed as executive officer and director, over about 13 years. Across those companies the filings report $177.7M sold in total.
Listed alongside Albert Cha (9 shared filings), JAMES GLASHEEN (9 shared filings), STEVE ELMS (9 shared filings), TOBIN C. ISLAND (9 shared filings), HARVEY LIU (8 shared filings) and 39 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around David. Each name links to their own page.
1 of the issuers belongs to the sponsor group Tria (2 issuers, $10M reported sold, 2010–2014).
What this means A sponsor group is one team that sets up a new company for each deal. Tria has 2 companies on file and $10M 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) — 7 court cases matching the name, 1 SEC release, 9 bankruptcy cases matching the name listed in Key records below.
What this means 17 records came back, including 1 court case still open — open cases can take years and cost money. 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 25 public filings for David Mauney and found 12 differences, 3 worth asking the sponsor about: Bankruptcy case: Mauney Tile, Inc; David Mauney appears on 4 deals that stopped filing before reaching their target; 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.