Evan Dick is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Aug 2011 and May 2012: CEPTARIS THERAPEUTICS, INC (Malvern, PA — pharmaceuticals — 2011–2012; $8.29M reported sold to 33 investors).
What this means One deal on file with the SEC. 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 Albert Cha (2 shared filings), David Drahams (2 shared filings), Kamil Ali-Jackson (2 shared filings), Stephen Tullman (2 shared filings), Timothy Henkel (2 shared filings) and 7 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Evan. Each name links to their own page.
The issuer belongs to the sponsor group Ceptaris (2 issuers, $24.1M reported sold, 2009–2012).
What this means A sponsor group is one team that sets up a new company for each deal. Ceptaris has 2 companies on file and $24.1M 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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 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 Evan Dick and found 3 differences, 2 worth asking the sponsor about: 39% of the money raised went to insiders; 37% of the money raised went to insiders; 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.