PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 12:42 AM ET

Sponsor Check › Person

Earl M. Collier, Jr.

Related person on Form D filings · address states as listed: MA, CA · listed Sep 8, 2011 → Apr 18, 2016

7issuers
24Form D filings
2011–2016years listed

Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:57 PM ET · SEC enforcement last checked: not yet

Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

None found in sources searched.

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:57 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

Not yet searched.

Search queued. Results are added automatically; check back later or follow this page to be notified.

3. Bankruptcies

None found in sources searched.

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:57 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons are made for sponsors and sponsor groups, not individual people.

5. Money to insiders and sales commissions

4 of 23 offerings report sales commissions totalling $1,008,275; 1 reports finder's fees totalling $15,000; 1 reports proceeds to related persons totalling $200,000. (includes amounts the issuer reported as estimates)

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗May 19, 2017 D
File 021-287105
$0$0$0None listed on this filing
EDGAR ↗Apr 18, 2016 D
File 021-261523
$0$0$0None listed on this filing
EDGAR ↗Mar 29, 2016 D
File 021-260137
$0$0$0SC&H Capital BrokerCheck CRD 148291 ↗
EDGAR ↗Mar 10, 2016 D
File 021-258996
$0$0$0None listed on this filing
EDGAR ↗Sep 21, 2015 D
File 021-247946
$0$0$0None listed on this filing
EDGAR ↗Jun 4, 2015 D
File 021-241112
$0$0$0None listed on this filing
EDGAR ↗Feb 19, 2015 D
File 021-234301
$364,500$0$0H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗
SC&H Capital BrokerCheck CRD 148291 ↗
EDGAR ↗Feb 3, 2015 D
File 021-233404
$126,900$0$0SC&H Capital BrokerCheck CRD 148291 ↗
H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗
EDGAR ↗Feb 24, 2014 D
File 021-212355
$0$0$0None listed on this filing
EDGAR ↗Dec 5, 2013 D
File 021-207421
$0$0$0None listed on this filing
EDGAR ↗Sep 5, 2013 D
File 021-202364
$0$0$0None listed on this filing
EDGAR ↗Jun 13, 2013 D
File 021-197996
$0$0$0None listed on this filing
EDGAR ↗Apr 12, 2013 D
File 021-194960
$0$0$0None listed on this filing
EDGAR ↗Nov 21, 2012 D
File 021-187346
$425,000$0$0Piper Jaffray & Co. BrokerCheck CRD 665 ↗
via Piper Jaffray & Co. (CRD 665 ↗)
EDGAR ↗Oct 30, 2012 D
File 021-186251
$0$0$0None listed on this filing
EDGAR ↗Oct 4, 2012 D
File 021-185002
$0$0$0None listed on this filing
EDGAR ↗Apr 13, 2012 D/A
File 021-172633
$0$0$200,000 (est.)
Salaries. No sales-based commission or fees.
None listed on this filing
EDGAR ↗Nov 8, 2011 D
File 021-168351
$0$0$0None listed on this filing
EDGAR ↗Sep 16, 2011 D
File 021-166006
$0$0$0None listed on this filing
EDGAR ↗Sep 8, 2011 D
File 021-165491
$0$0$0None listed on this filing
EDGAR ↗Sep 8, 2011 D
File 021-165493
$0$0$0None listed on this filing
EDGAR ↗Aug 15, 2011 D
File 021-164439
$0$0$0None listed on this filing
EDGAR ↗Sep 15, 2009 D
File 021-71452
$91,875 (est.)$15,000$0Musket Research Associates, Inc. BrokerCheck CRD 30599 ↗
via David B. Musket (CRD 1321808 ↗)

As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Appears on these filings

SourceIssuerRoleFiledFormOfferingSoldInvestorsMin. investment
EDGAR ↗CAPRICOR THERAPEUTICS, INC.DirectorMay 19, 2017D$3,708,503
similar: $2,000,000–$19,999,994
$3,708,5034
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗TESARO, Inc.DirectorApr 18, 2016D$49,999,960
similar: $1,694,259–$16,000,000
$49,999,9601
similar: 1–13
No minimum reported
similar: $10,000–$55,000
EDGAR ↗CAPRICOR THERAPEUTICS, INC.DirectorMar 29, 2016D$13,974
similar: $2,000,000–$19,999,994
$13,97424
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗TESARO, Inc.DirectorMar 10, 2016D$154,999,915
similar: $1,694,259–$16,000,000
$154,999,9157
similar: 1–13
No minimum reported
similar: $10,000–$55,000
EDGAR ↗TransMedics, Inc.DirectorSep 21, 2015D$499,998
similar: $829,831–$9,999,998
$499,9981
similar: 2–15
No minimum reported
similar: $10,000–$54,310
EDGAR ↗TransMedics, Inc.DirectorJun 4, 2015D$20,004,581
similar: $829,831–$9,999,998
$20,004,58111
similar: 2–15
No minimum reported
similar: $10,000–$54,310
EDGAR ↗CAPRICOR THERAPEUTICS, INC.DirectorFeb 19, 2015D$7,050,001
similar: $2,000,000–$19,999,994
$7,050,0018
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗CAPRICOR THERAPEUTICS, INC.DirectorFeb 3, 2015D$10,002,028
similar: $2,000,000–$19,999,994
$10,002,02839
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗CAPRICOR THERAPEUTICS, INC.DirectorFeb 24, 2014D$32,676$32,6761No minimum reported
EDGAR ↗CAPRICOR THERAPEUTICS, INC.DirectorDec 5, 2013D$26,289,973
similar: $2,000,000–$19,999,994
$26,289,97334
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗Arsenal Medical, Inc.Executive Officer, DirectorSep 5, 2013D$4,000,000
similar: $2,000,000–$19,999,994
$4,000,0008
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗TransMedics, Inc.DirectorJun 13, 2013D$29,965,776
similar: $829,831–$9,999,998
$00
similar: 2–15
No minimum reported
similar: $10,000–$54,310
EDGAR ↗Lyra Therapeutics, Inc.Executive Officer, DirectorApr 12, 2013D$21,213,551
similar: $2,000,000–$19,999,994
$17,956,99911
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗TransMedics, Inc.DirectorNov 21, 2012D$36,150,000
similar: $829,831–$9,999,998
$36,150,00015
similar: 2–15
No minimum reported
similar: $10,000–$54,310
EDGAR ↗Lyra Therapeutics, Inc.Executive Officer, DirectorOct 30, 2012D$6,000,000
similar: $2,000,000–$19,999,994
$5,078,13910
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗Arsenal Medical, Inc.Executive Officer, DirectorOct 4, 2012D$3,000,000
similar: $2,000,000–$19,999,994
$3,000,0009
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗CAPRICOR INCDirectorApr 13, 2012D/A$15,000,000
similar: $2,000,000–$19,999,994
$6,000,0004
similar: 2–16
$250,000
similar: $10,000–$50,000
EDGAR ↗CAPRICOR INCDirectorJan 30, 2012D$15,000,000
similar: $2,000,000–$19,999,994
$4,500,0003
similar: 2–16
$250,000
similar: $10,000–$50,000
EDGAR ↗Lyra Therapeutics, Inc.Executive Officer, DirectorNov 8, 2011D$3,000,000
similar: $2,000,000–$19,999,994
$3,000,0001
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗Arsenal Medical, Inc.Executive Officer, DirectorSep 16, 2011D$3,000,000
similar: $2,000,000–$19,999,994
$3,000,0008
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗Arsenal Medical, Inc.Executive Officer, DirectorSep 8, 2011D$1
similar: $2,000,000–$19,999,994
$138
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗Lyra Therapeutics, Inc.Executive Officer, DirectorSep 8, 2011D$18,000,002
similar: $2,000,000–$19,999,994
$12,000,00010
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗TransMedics, Inc.DirectorAug 15, 2011D$22,500,000
similar: $829,831–$9,999,998
$5,922,4989
similar: 2–15
No minimum reported
similar: $10,000–$54,310
EDGAR ↗Pervasis Therapeutics IncDirectorSep 15, 2009D$17,384,210
similar: $2,000,000–$19,999,994
$10,003,42618
similar: 2–16
No minimum reported
similar: $10,000–$50,000

Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); Pharmaceuticals / 506(b) (800 filings); Other Health Care / 506(b) (4,189 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Connections as of Oct 23, 2026, 5:45 PM ET

Listed alongside — 40 names on the same filings (0 management entities, 40 people)

People and management entities the issuers listed as related persons on the same Form D filings as Earl M. Collier, Jr.. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.

  • Robert Langer — 9 shared filings (3 issuers) · role as listed: Director · also listed on 45 other issuers
  • George Whitesides — 8 shared filings (2 issuers) · role as listed: Director · also listed on 5 other issuers
  • Guido Neels — 8 shared filings (2 issuers) · role as listed: Director
  • Carmichael Roberts — 8 shared filings (2 issuers) · role as listed: Director · also listed on 26 other issuers
  • Louis Manzo — 8 shared filings (2 issuers) · role as listed: Director
  • Linda Marban — 8 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • James Rosen — 8 shared filings (2 issuers) · role as listed: Director
  • Terrance McGuire — 7 shared filings (2 issuers) · role as listed: Director · also listed on 19 other issuers
  • Frank Litvack — 7 shared filings (2 issuers) · role as listed: Director · also listed on 4 other issuers
  • Louis Grasmick — 7 shared filings (2 issuers) · role as listed: Director
  • Joshua Kazam — 6 shared filings (1 issuer) · role as listed: Director · also listed on 34 other issuers
  • Edwin M. Kania, Jr. — 6 shared filings (2 issuers) · role as listed: Director · also listed on 4 other issuers
  • Rachel Smith — 6 shared filings (1 issuer) · role as listed: Executive Officer · also listed on 1 other issuer
  • David Musket — 6 shared filings (1 issuer) · role as listed: Director
  • Karen Krasney — 6 shared filings (1 issuer) · role as listed: Executive Officer
  • Anthony Bergmann — 6 shared filings (1 issuer) · role as listed: Executive Officer
  • George Dunbar — 6 shared filings (1 issuer) · role as listed: Director
  • Waleed H. Hassanein — 5 shared filings (1 issuer) · roles as listed: Executive Officer, Director
  • Gregory Schafer — 5 shared filings (1 issuer) · role as listed: Director · also listed on 2 other issuers
  • Joseph Lacob — 5 shared filings (1 issuer) · role as listed: Director
  • Kenneth Bate — 5 shared filings (1 issuer) · role as listed: Director · also listed on 3 other issuers
  • James R. Tobin — 5 shared filings (1 issuer) · role as listed: Director · also listed on 3 other issuers
  • Travis M. Rhodes — 4 shared filings (1 issuer) · role as listed: Director · also listed on 4 other issuers
  • Tony Lee White — 4 shared filings (1 issuer) · role as listed: Director
  • Andrew Hamer — 4 shared filings (1 issuer) · role as listed: Executive Officer · also listed on 1 other issuer
  • James Goldstein — 3 shared filings (2 issuers) · role as listed: Director · also listed on 14 other issuers
  • Jim Barry — 3 shared filings (1 issuer) · role as listed: Executive Officer
  • Domenic Micale — 3 shared filings (1 issuer) · role as listed: Executive Officer
  • Beth Seidenberg — 2 shared filings (1 issuer) · role as listed: Director · also listed on 28 other issuers
  • Leon O. Moulder, Jr. — 2 shared filings (1 issuer) · roles as listed: Executive Officer, Director · also listed on 6 other issuers
  • Mary Lynne Hedley — 2 shared filings (1 issuer) · roles as listed: Executive Officer, Director
  • David Mott — 2 shared filings (1 issuer) · role as listed: Director · also listed on 23 other issuers
  • David C. Abrams — 2 shared filings (1 issuer) · role as listed: Director · also listed on 9 other issuers
  • David Abram — 2 shared filings (1 issuer) · role as listed: Director
  • Stephen Gordon — 2 shared filings (1 issuer) · role as listed: Executive Officer · also listed on 1 other issuer
  • Deborah Ascheim — 2 shared filings (1 issuer) · role as listed: Executive Officer
  • Leland Gershell — 2 shared filings (1 issuer) · role as listed: Executive Officer
  • Jeffrey Hanke — 2 shared filings (1 issuer) · role as listed: Executive Officer
  • Grant C. Bogle — 2 shared filings (1 issuer) · role as listed: Executive Officer
  • Garry A. Nicholson — 2 shared filings (1 issuer) · role as listed: Director · also listed on 5 other issuers

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

Export this report as PDF (members · included free during the launch period)

Change history

No corrections have been requested for this page.

Facts from public records only, each linked to its source. No ratings, no opinions. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when Earl M. Collier, Jr. appears on a new Form D, or when a court case or SEC action is matched to them. See plans →