James Cox is listed as a director on 5 SEC Form D filings by 2 issuers between Aug 2014 and May 2023: Harpoon Medical, Inc. (Baltimore, MD — biotechnology — 2014–2016; $3.91M reported sold to 19 investors) and KEIPhone, Inc. (Chevy Chase, MD — industry reported as "Other" — 2022–2023; $235K reported sold to 5 investors).
What this means 2 separate companies raised money with this person listed as director, over about 9 years. Across those companies the filings report $4.14M sold in total.
1 of the issuers belongs to the sponsor group Harpoon (3 issuers, $16M reported sold, 2014–2021).
What this means A sponsor group is one team that sets up a new company for each deal. Harpoon has 3 companies on file and $16M 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) — 1 SEC release, 7 bankruptcy cases matching the name listed in Key records below.
What this means 8 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 5 public filings for James Cox and found 12 differences: James Cox appears on 1 deal that stopped filing before reaching its target; Form D filed 17 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.