James Freddo is listed as an executive officer on 4 SEC Form D filings by 1 issuer between Aug 2015 and Jul 2016: Oncternal Therapeutics, Inc. (San Diego, CA — biotechnology — 2015–2016; $17.9M reported sold to 121 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.
The issuer belongs to the sponsor group Oncternal Therapeutics (2 issuers, $23.5M reported sold, 2014–2020).
What this means A sponsor group is one team that sets up a new company for each deal. Oncternal Therapeutics has 2 companies on file and $23.5M 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) — 1 court case matching the name listed in Key records below.
What this means 1 record 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 4 public filings for James Freddo and found 6 differences, 1 worth asking the sponsor about: James Freddo is no longer listed on the Oct 20, 2016 amendment; 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.