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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:48 AM ET

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HS
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Howard Schultz

Named as an officer, director or promoter on SEC Form D filings · WA · Apr 21, 2011 → Jul 26, 2011

1deal (issuers)
$950Mreported sold
48investors
2Form D filings
2011year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:24 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Howard Schultz is listed as a director on 2 SEC Form D filings by 1 issuer between Apr 2011 and Jul 2011: Groupon, Inc. (Chicago, IL — other technology — 2011; $950M reported sold to 48 investors).

What this means One deal on file with the SEC, filed Jul 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 Andrew Mason (2 shared filings), Brad Keywell (2 shared filings), Eric Lefkofsky (2 shared filings), Kevin Efrusy (2 shared filings), Peter Barris (2 shared filings) and 2 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Howard. Each name links to their own page.

The issuer belongs to the sponsor group Lightbank (5 issuers, $491.2M reported sold, 2010–2025).

What this means A sponsor group is one team that sets up a new company for each deal. Lightbank has 5 companies on file and $491.2M 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 (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) — 5 court cases matching the name, 13 bankruptcy cases matching the name listed in Key records below.

What this means 18 records came back. 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 2 public filings for Howard Schultz and found 2 differences, 1 worth asking the sponsor about: 5 bankruptcy cases name the subject or team members; 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.

What the community is saying

Community search for Howard Schultz has not run yet — it is joining a line of 27,622 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

5 cases: 5 dismissed

Penninsular Group, LLC v. Howard Schultz dismissed
District Court, C.D. California · No. 2:15-cv-00759 · Filed Feb 3, 2015 · Closed May 7, 2015 · Nature of suit: Racketeer/Corrupt Organization · Cause: 18:1961 Racketeering (RICO) Act
Role of Howard Schultz: Defendant · Outcome: Terminated 2015-05-07 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
BH Evert, Inc. v. Howard Schultz dismissed
District Court, D. Minnesota · No. 0:01-cv-00870 · Filed May 21, 2001 · Closed Sep 9, 2002 · Nature of suit: 190 Other contract actions
Role of Howard Schultz: Defendant · Outcome: Terminated 2002-09-09 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in MN (not a filing state)
Howard Schultz v. Evert Software, Inc. dismissed
District Court, D. Minnesota · No. 0:01-cv-00547 · Filed Mar 29, 2001 · Closed Sep 9, 2002 · Nature of suit: 190 Other contract actions
Role of Howard Schultz: Plaintiff · Outcome: Terminated 2002-09-09 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in MN (not a filing state)
Howard Schultz v. Doyle dismissed
District Court, N.D. Texas · No. 3:00-cv-02599 · Filed Nov 29, 2000 · Closed May 24, 2001 · Nature of suit: 190 Other contract actions
Role of Howard Schultz: Plaintiff · Outcome: Terminated 2001-05-24 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)
Doyle v. Howard Schultz dismissed
District Court, N.D. California · No. 5:00-cv-20950 · Filed Sep 13, 2000 · Closed May 17, 2001 · Nature of suit: 190 Other contract actions
Role of Howard Schultz: Defendant · Outcome: Terminated 2001-05-17 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:24 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)

What was searched

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. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Howard Schultz..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

13 cases: 1 open, 12 closed (disposition not in docket feed)

Howard W Schultz open
United States Bankruptcy Court, C.D. Illinois · No. 18-80797 · Filed May 24, 2018
Role of Howard W Schultz: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (IL)
Howard L Schultz and Rochelle S Schultz closed
United States Bankruptcy Court, E.D. New York · No. 1-14-41976 · Filed Apr 22, 2014 · Closed Jul 23, 2014
Role of Howard L Schultz and Rochelle S Schultz: Debtor · Outcome: Case closed 2014-07-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)
Howard L. Schultz closed
United States Bankruptcy Court, E.D. New York · No. 1-11-47257 · Filed Aug 23, 2011 · Closed Nov 29, 2011
Role of Howard L. Schultz: Debtor · Outcome: Case closed 2011-11-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)
Howard W Schultz and Matilda C Schultz closed
United States Bankruptcy Court, C.D. Illinois · No. 10-80736 · Filed Mar 8, 2010 · Closed Jul 13, 2010
Role of Howard W Schultz and Matilda C Schultz: Debtor · Outcome: Case closed 2010-07-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (IL)
Howard D Schultz closed
United States Bankruptcy Court, C.D. California · No. 6:09-bk-24368 · Filed Jun 26, 2009 · Closed Oct 14, 2009
Role of Howard D Schultz: Debtor · Outcome: Case closed 2009-10-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in CA (not a filing state)
Christine Julia Schultz and Howard G Schultz closed
United States Bankruptcy Court, E.D. Michigan · No. 08-23507 · Filed Nov 18, 2008 · Closed Feb 25, 2009
Role of Howard G Schultz: Debtor · Outcome: Case closed 2009-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in MI (not a filing state)
Howard L. Schultz and Jacquelin D. Schultz closed
United States Bankruptcy Court, E.D. Michigan · No. 08-43311 · Filed Feb 14, 2008 · Closed Jun 6, 2008
Role of Howard L. Schultz and Jacquelin D. Schultz: Debtor · Outcome: Case closed 2008-06-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in MI (not a filing state)
Howard D Schultz closed
United States Bankruptcy Court, W.D. Washington · No. 04-51652 · Filed Dec 16, 2004 · Closed Mar 22, 2005
Role of Howard D Schultz: Debtor · Outcome: Case closed 2005-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (WA)
Howard B Schultz closed
United States Bankruptcy Court, E.D. New York · No. 1-99-17586 · Filed Jun 7, 1999 · Closed Nov 3, 1999
Role of Howard B Schultz: Debtor · Outcome: Case closed 1999-11-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)
Howard Schultz and Nancy Schultz closed
United States Bankruptcy Court, N.D. West Virginia · No. 5:98-bk-50352 · Filed Feb 12, 1998 · Closed May 14, 1998
Role of Howard Schultz and Nancy Schultz: Debtor · Outcome: Case closed 1998-05-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in WV (not a filing state)
Howard Schultz closed
United States Bankruptcy Court, N.D. Illinois · No. 96-50344 · Filed Feb 13, 1996 · Closed Jun 5, 1996
Role of Howard Schultz: Debtor · Outcome: Case closed 1996-06-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in the person's filing state (IL)
Howard Schultz closed
United States Bankruptcy Court, S.D. Ohio · No. 1:94-bk-13886 · Filed Oct 19, 1994 · Closed Sep 26, 1995
Role of Howard Schultz: Debtor · Outcome: Case closed 1995-09-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)
Howard Schultz and Judith Schultz closed
United States Bankruptcy Court, D. New Jersey · No. 94-35161 · Filed Aug 17, 1994 · Closed Dec 16, 1994
Role of Howard Schultz and Judith Schultz: Debtor · Outcome: Case closed 1994-12-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 23 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:24 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). 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 cover issuers and sponsor groups — see the issuer pages under Deals

2 differences found between the filings for Howard Schultz — 1 worth asking about (compared 2 filings on Oct 24, 2026)

Worth asking · Feb 13, 1996 – May 24, 2018

5 bankruptcy cases name the subject or team members

Bankruptcy case: Howard W Schultz — filed May 24, 2018 · Bankruptcy case: Howard W Schultz and Matilda C Schultz — filed Mar 8, 2010 · Bankruptcy case: Howard D Schultz — filed Dec 16, 2004 · Bankruptcy case: Howard Schultz — filed Feb 13, 1996 · Bankruptcy case: Keywell Metals, LLC (f/k/a KW Metals Acquisition v. SGK Ventures, LLC — filed May 21, 2014

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, C.D. Illinois ↗Docket · United States Bankruptcy Court, C.D. Illinois ↗Docket · United States Bankruptcy Court, W.D. Washington ↗Docket · United States Bankruptcy Court, N.D. Illinois ↗
Sources
Note · Jul 29, 2009 – Nov 5, 2010

Same name, different state: "Howard Schultz" (CA) is a separate record

This page covers filings where the address state is WA. A separate record, "Howard Schultz" with address state CA, is listed on 2 filings — most recently by Pinkberry Holding Corp (Nov 5, 2010). The two records do not overlap in time: this page runs Apr 21, 2011 to Jul 26, 2011; the other runs Jul 29, 2009 to Nov 5, 2010.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Howard Schultz (CA) — PartnerFacts page ↗Form D/A · Nov 5, 2010 ↗Pinkberry Holding Corp — PartnerFacts page ↗Howard Schultz (WA) — this page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jul 26, 2011 D
Groupon, Inc.
File 021-163479
$0$0$0None listed on this filingEDGAR ↗
Apr 21, 2011 D
Groupon, Inc.
File 021-158748
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (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).

Deals 1

Every issuer that named Howard Schultz on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

G
Other Technology · group: Lightbank

Groupon, Inc.

Chicago, IL · Apr 21, 2011 → Jul 26, 2011 · 2 filings
  • Jul 26, 2011 · D · $10,288,416 sold of $10,288,416 · 32 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 21, 2011 · D · $6,084,800 sold of $6,084,800 · 17 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $950M from 48 investors (100% of the $10.3M target) as of the latest filing. Howard is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (1)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Howard Schultz — CA, 1 issuer, Jul 29, 2009 → Nov 5, 2010 · no shared issuer

People around Howard 7

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

EL
No photo found yet (own website and image search run after this page is viewed)
Person

Eric Lefkofsky

Executive Officer, Director · 2 shared filings (1 issuer) · also on 11 other issuers

Eric Lefkofsky is on 12 issuers in total — a repeat sponsor. Their page lists every one.

KE
No photo found yet (own website and image search run after this page is viewed)
Person

Kevin Efrusy

Director · 2 shared filings (1 issuer) · also on 5 other issuers

Kevin Efrusy is on 6 issuers in total — a repeat sponsor. Their page lists every one.

TL
No photo found yet (own website and image search run after this page is viewed)
Person

Ted Leonsis

Director · 2 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Howard Schultz. Their page shows their other deals.

BK
No photo found yet (own website and image search run after this page is viewed)
Person

Brad Keywell

Director · 2 shared filings (1 issuer) · also on 15 other issuers

Brad Keywell is on 16 issuers in total — a repeat sponsor. Their page lists every one.

AM
No photo found yet (own website and image search run after this page is viewed)
Person

Andrew Mason

Executive Officer, Director · 2 shared filings (1 issuer)

Listed on the same filings as Howard Schultz. Their page shows their other deals.

PB
No photo found yet (own website and image search run after this page is viewed)
Person

Peter Barris

Director · 2 shared filings (1 issuer) · also on 19 other issuers

Peter Barris is on 20 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

L
Sponsor group

Lightbank

5 issuers · 14 filings · $491.2M reported sold · 2010–2025

One team, 5 deal companies. Howard Schultz is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Howard Schultz.

Same business address

21 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

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 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Howard Schultz by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Howard Schultz is listed on: none on file. No website or social profile named in Groupon, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #349,515 of 374,652 in line (1,341 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Chicago, IL). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Washington Courts case search (dw.courts.wa.gov) ↗Cook County Clerk of Court case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Washington Secretary of State business search ↗Illinois Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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