Jim Heppell is listed as an executive officer and director on 21 SEC Form D filings by 9 issuers between Jul 2009 and Sep 2022. Largest by amount reported sold: Skye Bioscience, Inc. (San Diego, CA — biotechnology — 2018; $62.3M reported sold to 43 investors), Emerald Health Sciences Inc. (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2022; $9.89M reported sold to 45 investors), SOPHIRIS BIO INC. (La Jolla, CA — biotechnology — 2019; $5.07M reported sold to 1 investors), Emerald Health Pharmaceuticals Inc. (San Diego, CA — pharmaceuticals — 2017; $2.5M reported sold to 5 investors), PROTOX THERAPEUTICS INC (Vancouver, British Columbia, Canada (as filed: A1) — biotechnology — 2010; $226K reported sold to 3 investors) and 4 more (all listed below).
What this means A repeat sponsor — 9 separate companies raised money with this person listed as executive officer and director, over about 13 years. Across those companies the filings report $80.5M sold in total.
Listed alongside Gaetano Morello (8 shared filings), Stephen Hall (6 shared filings), Punit Dhillon (5 shared filings), Charles Cook (4 shared filings), Derek Spratt (4 shared filings) and 48 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Jim. Each name links to their own page.
3 of the issuers belong to the sponsor group Emerald Health (3 issuers, $712K reported sold, 2017–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Emerald Health has 3 companies on file and $712K 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 (AZ, CA, DE, 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 21 public filings for Jim Heppell and found 10 differences, 4 worth asking the sponsor about: Paid seller listed without a CRD number: Canaccord Financial Ltd; Paid seller listed without a CRD number: Versant Partners Inc; 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.