Doug Baum is listed as a director on 2 SEC Form D filings by 1 issuer between Jul 2011 and Oct 2011: XERIS PHARMACEUTICALS INC (Chicago, IL — pharmaceuticals — 2011; $45M reported sold to 56 investors).
What this means One deal on file with the SEC, filed Oct 2011. 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 John Kinzel (2 shared filings), Yash Sabharwal (2 shared filings), Mark Saliman (1 shared filing) and Steven Prestrelski (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Doug. Each name links to their own page.
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 2 public filings for Doug Baum and found 1 difference: No amendment in the last 12 months on an offering that may still be open.
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.