DAVID STONE

TOSCA RESOURCES CORP (last filing Jan 29, 2015; $421,090 sold of $962,492). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

The Mar 24, 2011 filing lists Haywood Securities Inc. with CRD 42072; the Mar 21, 2011 Form D/A lists the same name with no CRD number.

What this means A CRD number is how you look a seller up on FINRA BrokerCheck. Missing it on a later form is usually a paperwork slip — use the number from the earlier form to check them.

Form D filed 24 days after the first sale — Hillcrest Energy Technologies Ltd. · Form D filed 35 days after the first sale — Hillcrest Energy Technologies Ltd. · Form D filed 18 days after the first sale — SOUTHERN ARC MINERALS INC · Form D filed 21 days after the first sale — FORMATION METALS INC · Form D filed 21 days after the first sale — Formation Metals Inc

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

No amendment in the last 12 months on an offering that may still be open — Hillcrest Energy Technologies Ltd. (latest filing Apr 20, 2021) · No amendment in the last 12 months on an offering that may still be open — Hillcrest Energy Technologies Ltd. (latest filing Jan 29, 2021) · No amendment in the last 12 months on an offering that may still be open — Hillcrest Energy Technologies Ltd. (latest filing Sep 25, 2020) · No amendment in the last 12 months on an offering that may still be open — Hillcrest Energy Technologies Ltd. (latest filing Dec 18, 2019) · No amendment in the last 12 months on an offering that may still be open — Hillcrest Energy Technologies Ltd. (latest filing May 23, 2019) · and 7 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.

listed as "David Stone" on 19 filings (from May 14, 2009), and "David M. Stone" on 3 filings (from Mar 14, 2011), and "David M.R. Stone" on the Jun 15, 2016 filing, and "David M. R. Stone" on 6 filings (from Apr 4, 2018).

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.

"$5,000,001 - $25,000,000" (May 14, 2009); then "No Revenues" (Jun 15, 2016).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

"$5,000,001 - $25,000,000" (Nov 4, 2011); then "Decline to Disclose" (Mar 15, 2012).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

This page covers filings where the address state is A1. A separate record, "David Stone" with address state NY, is listed on 8 filings — most recently by Purpose Broadway Ltd Liability Co (Dec 27, 2024). Both records have filings in the same period (May 14, 2009 to Jan 23, 2018).

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 A1. A separate record, "David Stone" with address state MA, is listed on 6 filings — most recently by Cytrellis Biosystems, Inc. (Feb 20, 2015). Both records have filings in the same period (May 21, 2012 to Feb 20, 2015).

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 A1. A separate record, "David Stone" with address state UT, is listed on 5 filings — most recently by INVIZEON CORP (May 23, 2012). Both records have filings in the same period (May 27, 2009 to May 23, 2012).

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 A1. A separate record, "David Michael Raymond Stone" with address state WA, is listed on 2 filings — most recently by Blind Creek Resources Ltd. (Jan 14, 2011). Both records have filings in the same period (Oct 28, 2010 to Jan 14, 2011).

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 A1. A separate record, "David Stone" with address state IL, is listed on 2 filings — most recently by TRUMARX DATA PARTNERS, INC. (Apr 27, 2010). Both records have filings in the same period (Oct 9, 2009 to Apr 27, 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.