James Heath

The filing says the first sale was Jul 12, 2019. The Form D was filed Jul 29, 2019 — 17 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

The filing says the first sale was Sep 26, 2013. The Form D was filed Nov 4, 2013 — 39 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 24 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

The Mar 13, 2009 filing says an indefinite amount offered; the Sep 15, 2009 Form D says $30,100,001.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

The latest filing for this offering is dated Jun 20, 2017 (first sale Jun 6, 2017). It reports $4,475,996 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

The latest filing for this offering is dated Jun 13, 2016 (first sale May 31, 2016). It reports $3,700,000 sold of $4,000,004 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

The latest filing for this offering is dated Sep 15, 2009 (first sale Mar 9, 2009). It reports $7,525,000 sold of $30,100,001 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

"Biotechnology" (Mar 13, 2009 to Sep 15, 2009); then "Other" (May 7, 2014).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

This page covers filings where the address state is WA or CA. A separate record, "James Heath" with address state GA, is listed on 1 filing — most recently by CLOVERLY INC. (Jul 1, 2021). The two records do not overlap in time: this page runs Nov 4, 2013 to Jul 29, 2019; the other has one filing dated Jul 1, 2021.

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.

This page covers filings where the address state is WA or CA. A separate record, "James Heath" with address state CT, is listed on 5 filings — most recently by IsoPlexis Corp (Jan 8, 2021). Both records have filings in the same period (Jun 29, 2016 to Jul 29, 2019).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

This page covers filings where the address state is WA or CA. A separate record, "James C Heath" with address state KY, is listed on 1 filing — most recently by Community Financial Services, Inc /KY (Aug 13, 2020). The two records do not overlap in time: this page runs Nov 4, 2013 to Jul 29, 2019; the other has one filing dated Aug 13, 2020.

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.

WA on 3 filings (Mar 13, 2009 to May 7, 2014); CA on 5 filings (Nov 4, 2013 to Jul 29, 2019).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.