Eric Topol is listed as a director on 11 SEC Form D filings by 2 issuers between May 2009 and May 2016: Sotera Wireless, Inc. (San Diego, CA — other health care — 2009–2013; $31.8M reported sold to 23 investors) and DEXCOM INC (San Diego, CA — biotechnology — 2012–2016; $7.23M reported sold to 30 investors).
What this means 2 separate companies raised money with this person listed as director, over about 7 years. Across those companies the filings report $39.1M sold in total.
1 of the issuers belongs to the sponsor group Sotera (2 issuers, $37.4M reported sold, 2009–2017).
What this means A sponsor group is one team that sets up a new company for each deal. Sotera has 2 companies on file and $37.4M 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 (AZ, CA, DE, TX, WA) — 2 court cases matching the name, 2 SEC releases, 3 bankruptcy cases matching the name listed in Key records below.
What this means 7 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 11 public filings for Eric Topol and found 5 differences, 1 worth asking the sponsor about: 4 Form Ds were filed more than 15 days after the first sale; 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.