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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 8:03 AM ET

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John Thomas

Named as an officer, director or promoter on SEC Form D filings · CA, GA, CO, FL · Apr 9, 2009 → Jun 29, 2023

15deals (issuers)
$748.5Mreported sold
478investors
43Form D filings
2009–2023years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

John Thomas is listed as an executive officer and director on 43 SEC Form D filings by 15 issuers between Apr 2009 and May 2025. Largest by amount reported sold: ImmunityBio, Inc. (San Diego, CA — biotechnology — 2014–2015; $470M reported sold to 48 investors), Encina Lender Finance Intermediate SPV, LLC (Roswell, GA — other banking and financial services — 2020; $100M reported sold to 2 investors), CoRegen, Inc. (Houston, TX — biotechnology — 2024–2025; $62.6M reported sold to 31 investors), PACIFIC MERCANTILE BANCORP (Costa Mesa, CA — commercial banking — 2009–2013; $26.4M reported sold to 35 investors), CORMATRIX CARDIOVASCULAR INC (Roswell, GA — biotechnology — 2011–2018; $24.6M reported sold to 34 investors) and 10 more (all listed below).

What this means That is a lot of deals — 15 separate companies raised money with this person listed as executive officer and director, over about 16 years. Across those companies the filings report $748.5M sold in total.

Listed alongside Steve Gorlin (13 shared filings), Gary M. Williams (7 shared filings), Nancy A. Gray (7 shared filings), Raymond E. Dellerba (7 shared filings), Warren T. Finley (7 shared filings) and 149 others.

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

2 of the issuers belong to the sponsor group Oaktree (322 issuers, $132.91B reported sold, 2009–2026).

What this means A sponsor group is one team that sets up a new company for each deal. Oaktree has 322 companies on file and $132.91B 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) — 6 court cases matching the name, 3 SEC releases, 54 bankruptcy cases matching the name listed in Key records below.

What this means 63 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 43 public filings for John Thomas and found 27 differences, 6 worth asking the sponsor about: Regulator action naming a team member: MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken (Nov 26, 2019); Regulator action naming a team member: Earl C. Arrowood and Parker H. "Pete" Petit (Jan 11, 2012); 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 John Thomas has not run yet — it is joining a line of 29,513 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

6 cases: 3 closed (disposition not in docket feed), 3 dismissed

John D. Thomas v. Leagle, Inc. closed
District Court, C.D. California · No. 8:23-cv-00236 · Filed Feb 7, 2023 · Closed Mar 27, 2024 · Nature of suit: Assault Libel & Slander · Cause: 28:1332 Diversity-Libel,Assault,Slander
Role of John D. Thomas: Plaintiff · Outcome: Terminated 2024-03-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John D Thomas v. Western Progressive LLC dismissed
District Court, C.D. California · No. 8:20-cv-00731 · Filed Apr 13, 2020 · Closed Jul 6, 2020 · Nature of suit: Real Property: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of John D Thomas: Plaintiff · Outcome: Terminated 2020-07-06 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John D. Thomas v. BMW Financial Services NA, LLC dismissed
District Court, C.D. California · No. 8:20-cv-00674 · Filed Apr 7, 2020 · Closed Oct 21, 2020 · Nature of suit: Consumer Credit · Cause: 15:1681 Fair Credit Reporting Act
Role of John D. Thomas: Plaintiff · Outcome: Terminated 2020-10-21 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
In Re: John Thomas closed
District Court, E.D. California · No. 1:19-mc-00032 · Filed May 13, 2019 · Closed May 28, 2019 · Cause: Civil Miscellaneous Case
Role of John Thomas: Party · Outcome: Terminated 2019-05-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John D. Thomas v. Nationstar Mortgage, LLC dismissed
District Court, C.D. California · No. 8:14-cv-01799 · Filed Nov 12, 2014 · Closed Mar 11, 2015 · Nature of suit: 220 Foreclosure
Role of John D. Thomas: Plaintiff · Outcome: Terminated 2015-03-11 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John D Thomas v. Bank of America Home Loans closed
District Court, C.D. California · No. 8:11-cv-01832 · Filed Nov 28, 2011 · Closed Jul 24, 2012 · Nature of suit: Real Property: Foreclosure · Cause: 28:1444 Notice of Removal - Foreclosure
Role of John D Thomas: Plaintiff · Outcome: Terminated 2012-07-24 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:18 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

3 SEC releases

John F. Thomas, Thomas Becker, Douglas Martin, Paul Hanson, Damian Ostertag, Einstein Sports Advisory, LLC, QSA, LLC, Vegas Basketball Club, LLC, Vegas Football Club, LLC, Wellington Sports Club, LLC, Welscorp, Inc. and Executive Financial Services, Inc. Litigation release
SEC · Sep 4, 2019 · Parties as named in the release: John F. Thomas, Thomas Becker, Douglas Martin, Paul Hanson, Damian Ostertag, Einstein Sports Advisory, LLC, QSA, LLC, Vegas Basketball Club, LLC, Vegas Football Club, LLC, Wellington Sports Club, LLC, Welscorp, Inc. and Executive Financial Services, Inc. Read the release ↗
same full name in the release title; 27 people with this name in Form D filings; the person's filing state is not named
Pappas, John Thomas Administrative proceeding
SEC · Dec 19, 2014 · Parties as named in the release: Pappas, John Thomas Read the release ↗
same full name in the release title; 27 people with this name in Form D filings; the person's filing state is not named
Pappas, John Thomas Administrative proceeding
SEC · Sep 5, 2014 · Parties as named in the release: Pappas, John Thomas Read the release ↗
same full name in the release title; 27 people with this name in Form D filings; the person's filing state is not named
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 John Thomas..

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

54 cases: 3 open, 51 closed (disposition not in docket feed)

John R. Thomas open
United States Bankruptcy Court, D. Colorado · No. 24-13842 · Filed Jul 9, 2024
Role of John R. Thomas: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CO)
John L Thomas closed
United States Bankruptcy Court, S.D. Florida. · No. 23-18840 · Filed Oct 27, 2023 · Closed Dec 29, 2023
Role of John L Thomas: Debtor · Outcome: Case closed 2023-12-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John W Thomas, Jr. closed
United States Bankruptcy Court, S.D. California · No. 22-01581 · Filed Jun 13, 2022 · Closed Sep 21, 2022
Role of John W Thomas, Jr.: Debtor · Outcome: Case closed 2022-09-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John G. Thomas open
United States Bankruptcy Court, S.D. California · No. 22-01467 · Filed May 31, 2022
Role of John G. Thomas: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John E. Thomas and Mary G. Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 6:20-bk-05374 · Filed Sep 25, 2020 · Closed Nov 1, 2022
Role of John E. Thomas and Mary G. Thomas: Debtor · Outcome: Case closed 2022-11-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John M Thomas, III closed
United States Bankruptcy Court, N.D. Georgia · No. 19-66803 · Filed Oct 21, 2019 · Closed Jul 29, 2020
Role of John M Thomas, III: Debtor · Outcome: Case closed 2020-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John B Thomas, IV closed
United States Bankruptcy Court, N.D. Florida · No. 19-40493 · Filed Sep 18, 2019 · Closed Jan 12, 2021
Role of John B Thomas, IV: Debtor · Outcome: Case closed 2021-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John Thomas closed
United States Bankruptcy Court, N.D. Georgia · No. 19-61948 · Filed Aug 1, 2019 · Closed Nov 4, 2019
Role of John Thomas: Debtor · Outcome: Case closed 2019-11-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John M Thomas, III closed
United States Bankruptcy Court, N.D. Georgia · No. 19-61124 · Filed Jul 17, 2019 · Closed Sep 16, 2019
Role of John M Thomas, III: Debtor · Outcome: Case closed 2019-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John L. Thomas and Emily W. Thomas open
United States Bankruptcy Court, M.D. Florida · No. 2:19-bk-06472 · Filed Jul 10, 2019
Role of John L. Thomas and Emily W. Thomas: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John Thomas closed
United States Bankruptcy Court, S.D. Florida. · No. 19-13542 · Filed Mar 19, 2019 · Closed Jun 9, 2020
Role of John Thomas: Debtor · Outcome: Case closed 2020-06-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John W Thomas and Mary Jo Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 6:19-bk-00289 · Filed Jan 15, 2019 · Closed Jul 21, 2020
Role of John W Thomas and Mary Jo Thomas: Debtor · Outcome: Case closed 2020-07-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John M Thomas, III closed
United States Bankruptcy Court, N.D. Georgia · No. 18-59457 · Filed Jun 5, 2018 · Closed Dec 14, 2018
Role of John M Thomas, III: Debtor · Outcome: Case closed 2018-12-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John E Thomas closed
United States Bankruptcy Court, C.D. California · No. 6:17-bk-18280 · Filed Oct 3, 2017 · Closed Jan 17, 2018
Role of John E Thomas: Debtor · Outcome: Case closed 2018-01-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John M Thomas, III closed
United States Bankruptcy Court, N.D. Georgia · No. 17-64348 · Filed Aug 16, 2017 · Closed Apr 4, 2018
Role of John M Thomas, III: Debtor · Outcome: Case closed 2018-04-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John M Thomas, III closed
United States Bankruptcy Court, N.D. Georgia · No. 17-56921 · Filed Apr 17, 2017 · Closed Jun 27, 2017
Role of John M Thomas, III: Debtor · Outcome: Case closed 2017-06-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John Thomas and Arlene Thomas closed
United States Bankruptcy Court, E.D. California · No. 16-14238 · Filed Nov 23, 2016 · Closed Mar 31, 2017
Role of John Thomas and Arlene Thomas: Debtor · Outcome: Case closed 2017-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John F. Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 8:16-bk-02241 · Filed Mar 16, 2016 · Closed Jun 22, 2016
Role of John F. Thomas: Debtor · Outcome: Case closed 2016-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John M. Thomas closed
United States Bankruptcy Court, C.D. California · No. 1:16-bk-10407 · Filed Feb 11, 2016 · Closed Sep 16, 2021
Role of John M. Thomas: Debtor · Outcome: Case closed 2021-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John Thomas and Denise F Thomas closed
United States Bankruptcy Court, S.D. Georgia · No. 15-21067 · Filed Dec 30, 2015 · Closed May 6, 2019
Role of John Thomas and Denise F Thomas: Debtor · Outcome: Case closed 2019-05-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John C. Thomas closed
United States Bankruptcy Court, S.D. Georgia · No. 15-41993 · Filed Dec 1, 2015 · Closed Jun 14, 2021
Role of John C. Thomas: Debtor · Outcome: Case closed 2021-06-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John C Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 6:15-bk-09109 · Filed Oct 27, 2015 · Closed Oct 3, 2016
Role of John C Thomas: Debtor · Outcome: Case closed 2016-10-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John G. Thomas and Kay D. Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 3:15-bk-03593 · Filed Aug 9, 2015 · Closed Jan 19, 2017
Role of John G. Thomas and Kay D. Thomas: Debtor · Outcome: Case closed 2017-01-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John M. Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 8:15-bk-08121 · Filed Aug 7, 2015 · Closed Nov 10, 2015
Role of John M. Thomas: Debtor · Outcome: Case closed 2015-11-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John E. Thomas closed
United States Bankruptcy Court, N.D. California · No. 15-51846 · Filed May 29, 2015 · Closed Sep 10, 2015
Role of John E. Thomas: Debtor · Outcome: Case closed 2015-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John Thomas closed
United States Bankruptcy Court, N.D. Georgia · No. 15-52152 · Filed Feb 3, 2015 · Closed Mar 26, 2015
Role of John Thomas: Debtor · Outcome: Case closed 2015-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John Thomas and Judy Lynn Thomas closed
United States Bankruptcy Court, N.D. Florida · No. 15-30015 · Filed Jan 6, 2015 · Closed Jun 10, 2020
Role of John Thomas and Judy Lynn Thomas: Debtor · Outcome: Case closed 2020-06-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John E. Thomas closed
United States Bankruptcy Court, N.D. Texas · No. 15-30003 · Filed Jan 2, 2015 · Closed Jul 29, 2016
Role of John E. Thomas: Debtor · Outcome: Case closed 2016-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (TX)
John Thomas and Jennifer Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 8:14-bk-12257 · Filed Oct 20, 2014 · Closed Dec 9, 2014
Role of John Thomas and Jennifer Thomas: Debtor · Outcome: Case closed 2014-12-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John W. Thomas, Sr. closed
United States Bankruptcy Court, S.D. Georgia · No. 14-41322 · Filed Aug 15, 2014 · Closed Apr 13, 2015
Role of John W. Thomas, Sr.: Debtor · Outcome: Case closed 2015-04-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John B. Thomas and Evangeline B Thomas closed
United States Bankruptcy Court, S.D. California · No. 14-06199 · Filed Jul 31, 2014 · Closed Nov 14, 2019
Role of John B. Thomas and Evangeline B Thomas: Debtor · Outcome: Case closed 2019-11-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John P. Thomas and Diane K. Thomas closed
United States Bankruptcy Court, W.D. Texas · No. 14-30958 · Filed Jun 13, 2014 · Closed Nov 13, 2014
Role of John P. Thomas and Diane K. Thomas: Debtor · Outcome: Case closed 2014-11-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (TX)
John Thomas closed
United States Bankruptcy Court, N.D. Georgia · No. 14-60877 · Filed Jun 2, 2014 · Closed Aug 8, 2014
Role of John Thomas: Debtor · Outcome: Case closed 2014-08-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John J. Thomas and Leslie Thomas closed
United States Bankruptcy Court, S.D. Florida. · No. 14-21186 · Filed May 15, 2014 · Closed Sep 25, 2014
Role of John J. Thomas and Leslie Thomas: Debtor · Outcome: Case closed 2014-09-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John Thomas closed
United States Bankruptcy Court, N.D. Georgia · No. 14-56093 · Filed Mar 26, 2014 · Closed Jul 14, 2014
Role of John Thomas: Debtor · Outcome: Case closed 2014-07-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John R. Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 8:13-bk-13950 · Filed Oct 22, 2013 · Closed May 29, 2015
Role of John R. Thomas: Debtor · Outcome: Case closed 2015-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John Thomas closed
United States Bankruptcy Court, C.D. California · No. 1:13-bk-16191 · Filed Sep 25, 2013 · Closed Nov 13, 2013
Role of John Thomas: Debtor · Outcome: Case closed 2013-11-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John F. Thomas, Jr. and Rebecca G. Thomas closed
United States Bankruptcy Court, M.D. Florida · No. 3:13-bk-04305 · Filed Jul 13, 2013 · Closed Dec 1, 2016
Role of John F. Thomas, Jr.: Debtor · Outcome: Case closed 2016-12-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John T Thomas and Rhonda Gayle Thomas closed
United States Bankruptcy Court, N.D. Texas · No. 13-70182 · Filed May 21, 2013 · Closed Nov 12, 2013
Role of John T Thomas and Rhonda Gayle Thomas: Debtor · Outcome: Case closed 2013-11-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (TX)
John L Thomas and Sandra M Cheeks closed
United States Bankruptcy Court, E.D. Texas · No. 13-60269 · Filed Apr 4, 2013 · Closed Sep 24, 2014
Role of John L Thomas and Sandra M Cheeks: Debtor · Outcome: Case closed 2014-09-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (TX)
John W. Thomas, Sr. closed
United States Bankruptcy Court, S.D. Georgia · No. 13-40310 · Filed Feb 21, 2013 · Closed Mar 27, 2014
Role of John W. Thomas, Sr.: Debtor · Outcome: Case closed 2014-03-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John R Thomas, III and Elaine D Thomas closed
United States Bankruptcy Court, M.D. Georgia · No. 12-53207 · Filed Nov 5, 2012 · Closed Jan 14, 2013
Role of John R Thomas, III: Debtor · Outcome: Case closed 2013-01-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John W. Thomas, Jr. closed
United States Bankruptcy Court, M.D. Georgia · No. 12-40654 · Filed Jul 16, 2012 · Closed May 19, 2017
Role of John W. Thomas, Jr.: Debtor · Outcome: Case closed 2017-05-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John Thomas closed
United States Bankruptcy Court, C.D. California · No. 8:12-bk-17034 · Filed Jun 6, 2012 · Closed Jul 9, 2013
Role of John Thomas: Debtor · Outcome: Case closed 2013-07-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John Thomas closed
United States Bankruptcy Court, C.D. California · No. 2:12-bk-26391 · Filed May 9, 2012 · Closed Apr 24, 2013
Role of John Thomas: Debtor · Outcome: Case closed 2013-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John E Thomas closed
United States Bankruptcy Court, S.D. Florida. · No. 12-14734 · Filed Feb 28, 2012 · Closed Jul 25, 2017
Role of John E Thomas: Debtor · Outcome: Case closed 2017-07-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (FL)
John B Thomas and Charlotte S Thomas closed
United States Bankruptcy Court, C.D. California · No. 2:11-bk-60958 · Filed Dec 15, 2011 · Closed Apr 2, 2012
Role of John B Thomas and Charlotte S Thomas: Debtor · Outcome: Case closed 2012-04-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John I. Thomas and Joann Thomas closed
United States Bankruptcy Court, N.D. California · No. 11-71680 · Filed Nov 2, 2011 · Closed Sep 7, 2017
Role of John I. Thomas and Joann Thomas: Debtor · Outcome: Case closed 2017-09-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John Thomas closed
United States Bankruptcy Court, C.D. California · No. 8:11-bk-23535 · Filed Sep 28, 2011 · Closed Dec 21, 2011
Role of John Thomas: Debtor · Outcome: Case closed 2011-12-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John W Thomas, Jr and Marcelina Paula Thomas closed
United States Bankruptcy Court, D. Colorado · No. 11-32886 · Filed Sep 27, 2011 · Closed Feb 21, 2012
Role of John W Thomas, Jr: Debtor · Outcome: Case closed 2012-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CO)
John F. Thomas closed
United States Bankruptcy Court, S.D. California · No. 11-09861 · Filed Jun 14, 2011 · Closed Sep 16, 2011
Role of John F. Thomas: Debtor · Outcome: Case closed 2011-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John Thomas closed
United States Bankruptcy Court, N.D. Georgia · No. 10-90143 · Filed Oct 6, 2010 · Closed May 6, 2011
Role of John Thomas: Debtor · Outcome: Case closed 2011-05-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (GA)
John E Thomas and Kathleen D Thomas closed
United States Bankruptcy Court, C.D. California · No. 8:10-bk-20075 · Filed Jul 22, 2010 · Closed Nov 29, 2010
Role of John E Thomas and Kathleen D Thomas: Debtor · Outcome: Case closed 2010-11-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
John R Thomas and Denise B Thomas closed
United States Bankruptcy Court, S.D. California · No. 10-12764 · Filed Jul 21, 2010 · Closed Dec 7, 2015
Role of John R Thomas and Denise B Thomas: Debtor · Outcome: Case closed 2015-12-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 1897 federal dockets); 27 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:18 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

27 differences found between the filings for John Thomas — 6 worth asking about (compared 43 filings on Oct 24, 2026)

Worth asking · Nov 26, 2019

Regulator action naming a team member: MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken (Nov 26, 2019)

An SEC litigation release dated Nov 26, 2019 names Parker H. Petit (listed on the same filings). The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. Senken ↗Parker H. Petit — PartnerFacts page ↗
Sources
Worth asking · Jan 11, 2012

Regulator action naming a team member: Earl C. Arrowood and Parker H. "Pete" Petit (Jan 11, 2012)

An SEC litigation release dated Jan 11, 2012 names Parker H. Petit (listed on the same filings). Our match estimate: 70%. The release is the source; we do not summarize its outcome here.

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Earl C. Arrowood and Parker H. "Pete" Petit ↗Parker H. Petit — PartnerFacts page ↗
Sources
Note · Mar 22, 1991 – Apr 18, 2019

6 bankruptcy cases name the subject or team members

Bankruptcy case: DemeRx, Inc. — filed Apr 9, 2018 · Bankruptcy case: FIA Card Services, N.A. v. Kampfer — filed Apr 14, 2011 · Bankruptcy case: First Deposit National Bank v. Schafnitz — filed Feb 21, 1997 · Bankruptcy case: Argyros v. Woodcrest Development, Inc. — filed Apr 12, 1993 · Bankruptcy case: Argyros v. The Pacific Company — filed Apr 12, 1993 · and 1 more

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, S.D. Florida. ↗DemeRx, Inc. — PartnerFacts page ↗Docket · United States Bankruptcy Court, E.D. California ↗Tom D. Kampfer — PartnerFacts page ↗
Sources
Worth asking · Nov 6, 2009 – Mar 4, 2010

Amount sold went down between filings — ClearPoint Neuro, Inc.

The Nov 6, 2009 filing says $2,000,000 sold; the Mar 4, 2010 Form D says $0 sold — $2,000,000 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D (earlier) · Nov 6, 2009 ↗Form D (later) · Mar 4, 2010 ↗ClearPoint Neuro, Inc. — PartnerFacts page ↗
Sources
Worth asking · Nov 6, 2009 – Mar 4, 2010

Investor count went down between filings — ClearPoint Neuro, Inc.

The Nov 6, 2009 filing reports 1 investor; the Mar 4, 2010 Form D reports 0 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Nov 6, 2009 ↗Form D (later) · Mar 4, 2010 ↗ClearPoint Neuro, Inc. — PartnerFacts page ↗
Sources
Worth asking · Jun 6, 2012

499% of the money raised went to insiders — GENELUX Corp

The Jun 6, 2012 Form D reports $481,268 sold and $2,400,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "The salaries and compensation of our executive officers and directors may be paid using some of the proceeds raised in this Offering.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Jun 6, 2012 ↗GENELUX Corp — PartnerFacts page ↗
Sources
Note · May 8, 2015 – Jun 29, 2023

John Thomas appears on 2 deals that stopped filing before reaching their target

GENELUX Corp (last filing Jun 29, 2023; $18,304,319 sold of $48,000,000); DemeRx, Inc. (last filing May 8, 2015; $5,137,028 sold of $15,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

GENELUX Corp — PartnerFacts page ↗DemeRx, Inc. — PartnerFacts page ↗
Sources
Worth asking · Mar 17, 2009 – May 22, 2025

17 Form Ds were filed more than 15 days after the first sale

Form D filed 916 days after the first sale — Nexsis Biosciences LLC · Form D filed 577 days after the first sale — CoRegen, Inc. · Form D filed 440 days after the first sale — SmartPharm Therapeutics, Inc. · Form D filed 129 days after the first sale — H2O AUDIO, INC · Form D filed 31 days after the first sale — CoRegen, Inc. · and 12 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Jun 24, 2024 ↗Nexsis Biosciences LLC — PartnerFacts page ↗Form D · Mar 8, 2024 ↗CoRegen, Inc. — PartnerFacts page ↗
Sources
Note · Mar 17, 2009 – Feb 22, 2024

16 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — CoRegen, Inc. (latest filing Feb 22, 2024) · No amendment in the last 12 months on an offering that may still be open — GENELUX Corp (latest filing Jun 29, 2023) · No amendment in the last 12 months on an offering that may still be open — GENELUX Corp (latest filing Jun 15, 2023) · No amendment in the last 12 months on an offering that may still be open — Encina Lender Finance Intermediate SPV, LLC (latest filing Nov 4, 2020) · No amendment in the last 12 months on an offering that may still be open — H-CYTE, INC. (latest filing May 16, 2018) · and 11 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Feb 22, 2024 ↗CoRegen, Inc. — PartnerFacts page ↗Form D · Jun 29, 2023 ↗GENELUX Corp — PartnerFacts page ↗
Sources
Note · Mar 4, 2010 – Apr 20, 2018

4 role changes for the same people across filings

John Thomas's role changed at CORMATRIX CARDIOVASCULAR INC: executive officer, director → executive officer · John Thomas's role changed at CORMATRIX CARDIOVASCULAR INC: executive officer → executive officer, director · John Thomas's role changed at CORMATRIX CARDIOVASCULAR INC: executive officer, director → executive officer · John Thomas's role changed at ClearPoint Neuro, Inc.: executive officer, director → director

What this means Roles on Form D are self-reported. Ask who runs the company today.

Form D/A · Jan 16, 2015 ↗Form D · Apr 20, 2018 ↗John Thomas — PartnerFacts page ↗CORMATRIX CARDIOVASCULAR INC — PartnerFacts page ↗
Sources
Note · Jun 24, 2015 – Jul 17, 2015

Offering amount changed between filings — ImmunityBio, Inc.

The Jun 24, 2015 filing says $71,004,041 offered; the Jul 17, 2015 Form D/A says $78,004,041.

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.

Form D (earlier) · Jun 24, 2015 ↗Form D/A (later) · Jul 17, 2015 ↗ImmunityBio, Inc. — PartnerFacts page ↗
Sources
Note · Nov 6, 2009 – Mar 4, 2010

Offering amount changed between filings — ClearPoint Neuro, Inc.

The Nov 6, 2009 filing says $4,250,000 offered; the Mar 4, 2010 Form D says $4,600,000.

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.

Form D (earlier) · Nov 6, 2009 ↗Form D (later) · Mar 4, 2010 ↗ClearPoint Neuro, Inc. — PartnerFacts page ↗
Sources
Note · Jan 17, 2014 – Jan 16, 2015

Minimum investment changed between filings — CORMATRIX CARDIOVASCULAR INC

The Jan 17, 2014 filing lists a minimum of $250,000; the Jan 16, 2015 Form D/A lists $500,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Jan 17, 2014 ↗Form D/A (later) · Jan 16, 2015 ↗CORMATRIX CARDIOVASCULAR INC — PartnerFacts page ↗
Sources
Note · Nov 6, 2009 – Mar 4, 2010

Minimum investment changed between filings — ClearPoint Neuro, Inc.

The Nov 6, 2009 filing lists a minimum of $2,000,000; the Mar 4, 2010 Form D lists $0.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D (earlier) · Nov 6, 2009 ↗Form D (later) · Mar 4, 2010 ↗ClearPoint Neuro, Inc. — PartnerFacts page ↗
Sources
Note · Apr 9, 2009 – Apr 7, 2015

John Thomas is written 4 different ways on the filings

listed as "John Thomas" on 23 filings (from Apr 9, 2009), and "John C. Thomas, Jr." on 11 filings (from May 3, 2010), and "John Cornelius Thomas" on 6 filings (from Jun 16, 2011), and "John Thomas, Jr." on 3 filings (from Apr 7, 2015).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Apr 9, 2009 ↗Form D · May 3, 2010 ↗Form D · Jun 16, 2011 ↗Form D · Apr 7, 2015 ↗
Sources
Note · Apr 9, 2009 – Jun 15, 2023

Industry group changed between filings — GENELUX Corp

"Pharmaceuticals" (Apr 9, 2009 to Jun 6, 2012); then "Biotechnology" (Jun 15, 2023 to Jun 29, 2023).

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.

Form D · Apr 9, 2009 ↗Form D · Jun 15, 2023 ↗GENELUX Corp — PartnerFacts page ↗
Sources
Note · Apr 7, 2015 – May 16, 2018

Industry group changed between filings — H-CYTE, INC.

"Other Health Care" (Apr 7, 2015 to May 3, 2016); then "Biotechnology" (May 16, 2018).

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.

Form D · Apr 7, 2015 ↗Form D · May 16, 2018 ↗H-CYTE, INC. — PartnerFacts page ↗
Sources
Note · Apr 9, 2009 – Jun 15, 2023

Reported revenue range changed between filings — GENELUX Corp

"No Revenues" (Apr 9, 2009); then "Decline to Disclose" (Jun 15, 2023).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Apr 9, 2009 ↗Form D · Jun 15, 2023 ↗GENELUX Corp — PartnerFacts page ↗
Sources
Note · Dec 29, 2014 – Jun 24, 2015

Reported revenue range changed between filings — ImmunityBio, Inc.

"$5,000,001 - $25,000,000" (Dec 29, 2014); then "$1 - $1,000,000" (Jan 5, 2015); then "Decline to Disclose" (Jun 24, 2015).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Dec 29, 2014 ↗Form D · Jan 5, 2015 ↗Form D · Jun 24, 2015 ↗ImmunityBio, Inc. — PartnerFacts page ↗
Sources
Note · Dec 16, 2009 – Jul 19, 2011

Reported revenue range changed between filings — PACIFIC MERCANTILE BANCORP

"$25,000,001 - $100,000,000" (Dec 16, 2009); then "Decline to Disclose" (Jul 19, 2011).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Dec 16, 2009 ↗Form D · Jul 19, 2011 ↗PACIFIC MERCANTILE BANCORP — PartnerFacts page ↗
Sources
Note · Aug 19, 2010 – Sep 19, 2025

Same name, different state: "John Thomas" (A6) is a separate record

This page covers filings where the address state is CA or GA or CO or FL. A separate record, "John Thomas" with address state A6, is listed on 11 filings — most recently by PPX Mining Corp. (Sep 19, 2025). Both records have filings in the same period (Aug 19, 2010 to Jun 29, 2023).

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.

John Thomas (A6) — PartnerFacts page ↗Form D · Sep 19, 2025 ↗PPX Mining Corp. — PartnerFacts page ↗John Thomas (CA,GA,CO,FL) — this page ↗
Sources
Note · Nov 29, 2021 – Dec 20, 2024

Same name, different state: "John Thomas" (AL) is a separate record

This page covers filings where the address state is CA or GA or CO or FL. A separate record, "John Thomas" with address state AL, is listed on 3 filings — most recently by Microflex Partners, LP (Dec 20, 2024). Both records have filings in the same period (Nov 29, 2021 to Jun 29, 2023).

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.

John Thomas (AL) — PartnerFacts page ↗Form D · Dec 20, 2024 ↗Microflex Partners, LP — PartnerFacts page ↗John Thomas (CA,GA,CO,FL) — this page ↗
Sources
Note · Apr 1, 2010 – Apr 6, 2018

Same name, different state: "John E. Thomas, Jr." (PA) is a separate record

This page covers filings where the address state is CA or GA or CO or FL. A separate record, "John E. Thomas, Jr." with address state PA, is listed on 19 filings — most recently by ALEXANDER SERIES TRUST (Apr 6, 2018). Both records have filings in the same period (Apr 1, 2010 to Apr 6, 2018).

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.

John E. Thomas, Jr. (PA) — PartnerFacts page ↗Form D/A · Apr 6, 2018 ↗ALEXANDER SERIES TRUST — PartnerFacts page ↗John Thomas (CA,GA,CO,FL) — this page ↗
Sources
Note · Feb 25, 2010

Same name, different state: "John S Thomas" (MS) is a separate record

This page covers filings where the address state is CA or GA or CO or FL. A separate record, "John S Thomas" with address state MS, is listed on 1 filing — most recently by Shuqualak Lumber Company, Inc. (Feb 25, 2010). Both records have filings in the same period (Feb 25, 2010).

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.

John S Thomas (MS) — PartnerFacts page ↗Form D · Feb 25, 2010 ↗Shuqualak Lumber Company, Inc. — PartnerFacts page ↗John Thomas (CA,GA,CO,FL) — this page ↗
Sources
Note · Jul 31, 2009

Same name, different state: "John David Thomas" (MI) is a separate record

This page covers filings where the address state is CA or GA or CO or FL. A separate record, "John David Thomas" with address state MI, is listed on 1 filing — most recently by ALTe, LLC (Jul 31, 2009). Both records have filings in the same period (Jul 31, 2009).

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.

John David Thomas (MI) — PartnerFacts page ↗Form D · Jul 31, 2009 ↗ALTe, LLC — PartnerFacts page ↗John Thomas (CA,GA,CO,FL) — this page ↗
Sources
Note · Apr 9, 2009 – Jun 15, 2023

5 address changes between filings

Address moved from Redlands, CA to Westlake Village, CA — GENELUX Corp · Address moved from Atlanta, GA to Alpharetta, GA — H-CYTE, INC. · Address moved from Alpharetta, GA to Roswell, GA — CORMATRIX CARDIOVASCULAR INC · Address moved from San Diego, CA to Redlands, CA — GENELUX Corp · Address moved from Redlands, CA to San Diego, CA — GENELUX Corp

What this means Businesses move. If you were told one city and the forms say another, ask which is current.

Form D · Jun 6, 2012 ↗Form D · Jun 15, 2023 ↗GENELUX Corp — PartnerFacts page ↗Form D · May 3, 2016 ↗
Sources
Note · Apr 9, 2009 – May 22, 2025

John Thomas is listed with 4 different address states: CA, GA, CO, FL

CA on 21 filings (Apr 9, 2009 to Jun 29, 2023); GA on 14 filings (Nov 6, 2009 to May 16, 2018); CO on 7 filings (Apr 10, 2012 to May 22, 2025); FL on 1 filing (Jun 24, 2024).

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.

Form D · Apr 9, 2009 ↗Form D · Nov 6, 2009 ↗Form D · Apr 10, 2012 ↗Form D · Jun 24, 2024 ↗
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

9 of 36 offerings report sales commissions totalling $10,731,764; 2 report finder's fees totalling $1,319,502; 5 report proceeds to related persons totalling $8,315,833. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 22, 2025 D
CoRegen, Inc.
File 021-546928
$4,130,000 (est.)$0$0M M Dillon & Co. LLC BrokerCheck CRD 19878 ↗
via Elena Ulansky (CRD 7654267 ↗)

M M Dillion & Co. LLC BrokerCheck CRD 19878 ↗
via Jeff Robert Swarz (CRD 1563420 ↗)
EDGAR ↗
Feb 28, 2025 D
CoRegen, Inc.
File 021-539551
$1,400,000 (est.)$0$0M M Dillon & Co. LLC BrokerCheck CRD 19878 ↗
via Elena Ulansky (CRD 7654267 ↗)

M M Dillion & Co. LLC BrokerCheck CRD 19878 ↗
via Jeff Robert Swarz (CRD 1563420 ↗)
EDGAR ↗
Feb 28, 2025 D
CoRegen, Inc.
File 021-539577
$700,000 (est.)$0$0M M Dillon & Co. LLC BrokerCheck CRD 19878 ↗
via Elena Ulansky (CRD 7654267 ↗)

M M Dillion & Co. LLC BrokerCheck CRD 19878 ↗
via Jeff Robert Swarz (CRD 1563420 ↗)
EDGAR ↗
Jun 24, 2024 D
Nexsis Biosciences LLC
File 021-516690
$0$0$0None listed on this filingEDGAR ↗
Mar 8, 2024 D
CoRegen, Inc.
File 021-507023
$84,000$0$1,013,833
Director fees and executive compensation payments (includes amounts paid to a former director)
M M Dillon & Co. LLC BrokerCheck CRD 19878 ↗
via Elena Ulansky (CRD 7654267 ↗)

M M Dillion & Co. LLC BrokerCheck CRD 19878 ↗
via Jeff Robert Swarz (CRD 1563420 ↗)
EDGAR ↗
Feb 22, 2024 D
CoRegen, Inc.
File 021-505805
$0$0$0None listed on this filingEDGAR ↗
Jun 29, 2023 D
GENELUX Corp
File 021-485461
$0$200,000$0None listed on this filingEDGAR ↗
Jun 15, 2023 D
GENELUX Corp
File 021-484299
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2020 D
Encina Lender Finance, LLC
File 021-379637
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2020 D
Encina Lender Finance Intermediate SPV, LLC
File 021-379638
$0$0$0None listed on this filingEDGAR ↗
Jan 10, 2020 D
JAM-Labs Corp
File 021-357696
$0$0$0None listed on this filingEDGAR ↗
Apr 8, 2019 D
SmartPharm Therapeutics, Inc.
File 021-336656
$0$0$0None listed on this filingEDGAR ↗
May 16, 2018 D
H-CYTE, INC.
File 021-312574
$0$0$0None listed on this filingEDGAR ↗
Apr 20, 2018 D
CORMATRIX CARDIOVASCULAR INC
File 021-310670
$0$0$0None listed on this filingEDGAR ↗
May 3, 2016 D
H-CYTE, INC.
File 021-262510
$167,764$0$0Laidlaw and Company (UK) Ltd. BrokerCheck CRD 119037 ↗EDGAR ↗
Aug 5, 2015 D
ImmunityBio, Inc.
File 021-245114
$0$0$0None listed on this filingEDGAR ↗
Jul 17, 2015 D/A
ImmunityBio, Inc.
File 021-242356
$0$0$0None listed on this filingEDGAR ↗
Apr 7, 2015 D
H-CYTE, INC.
File 021-237425
$0$0$0None listed on this filingEDGAR ↗
Jan 16, 2015 D/A
CORMATRIX CARDIOVASCULAR INC
File 021-210324
$1,500,000 (est.)$0$0Newport Coast Securities BrokerCheck CRD 16944 ↗
via Newport Coast Securities (CRD 16944 ↗)
EDGAR ↗
Jan 5, 2015 D
ImmunityBio, Inc.
File 021-231393
$0$0$0None listed on this filingEDGAR ↗
Dec 29, 2014 D
ImmunityBio, Inc.
File 021-230934
$0$0$0None listed on this filingEDGAR ↗
Oct 15, 2013 D/A
CORMATRIX CARDIOVASCULAR INC
File 021-161400
$0$1,119,502$702,000
$702,000 paid to two independent directors as finders' fees.
None listed on this filingEDGAR ↗
May 28, 2013 D
PACIFIC MERCANTILE BANCORP
File 021-197088
$0$0$0None listed on this filingEDGAR ↗
Jun 6, 2012 D
GENELUX Corp
File 021-179313
$0$0$2,400,000 (est.)
The salaries and compensation of our executive officers and directors may be paid using some of the proceeds raised in this Offering.
None listed on this filingEDGAR ↗
May 7, 2012 D
PACIFIC MERCANTILE BANCORP
File 021-177734
$1,578,000$0$0Keefe, Bruyette & Woods, Inc. BrokerCheck CRD 481 ↗EDGAR ↗
Apr 10, 2012 D
Associated General Contractors of Colorado, Building Chapter Inc.
File 021-176463
$0$0$0None listed on this filingEDGAR ↗
Sep 12, 2011 D
PACIFIC MERCANTILE BANCORP
File 021-165630
$672,000$0$0Keefe, Bruyette & Woods, Inc. BrokerCheck CRD 481 ↗EDGAR ↗
Jul 19, 2011 D
PACIFIC MERCANTILE BANCORP
File 021-163086
$0$0$0None listed on this filingEDGAR ↗
Oct 22, 2010 D
ClearPoint Neuro, Inc.
File 021-149461
$0$0$0
All proceeds to be used for general corporate purposes and working capital.
None no CRD number reportedEDGAR ↗
Oct 13, 2010 D/A
PACIFIC MERCANTILE BANCORP
File 021-136962
$0$0$0None listed on this filingEDGAR ↗
Jul 12, 2010 D
H2O AUDIO, INC
File 021-144697
$0$0$0None listed on this filingEDGAR ↗
Jul 9, 2010 D
GENELUX Corp
File 021-144635
$0 (est.)$0 (est.)$0 (est.)None listed on this filingEDGAR ↗
Jun 21, 2010 D
DemeRx, Inc.
File 021-143781
$0$0$100,000 (est.)
Reimbursement for offering expenses
None listed on this filingEDGAR ↗
May 3, 2010 D
DemeRx, Inc.
File 021-141447
$0$0$0None listed on this filingEDGAR ↗
Mar 4, 2010 D
ClearPoint Neuro, Inc.
File 021-64207
$500,000 (est.)$0$4,100,000 (est.)Gilford Securities, Incorporated BrokerCheck CRD 8076 ↗
via Gilford Securities, Incorporated (CRD 8076 ↗)

Rodman & Renshaw, LLC BrokerCheck CRD 16415 ↗
via Rodman & Renshaw, LLC (CRD 16415 ↗)
EDGAR ↗
Apr 9, 2009 D
GENELUX Corp
File 021-55033
$0 (est.)$0 (est.)$0None listed on this filingEDGAR ↗
How this is counted

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 15

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

C
Biotechnology

CoRegen, Inc.

Houston, TX · Feb 22, 2024 → May 22, 2025 · 5 filings
  • May 22, 2025 · D · $62,640,000 sold of $62,640,000 · 8 investors · min. $25,000 · role: Executive Officer (Chief Financial Officer and Secretary of Issuer) EDGAR ↗
  • Feb 28, 2025 · D · $10,000,002 sold of $10,000,002 · 1 investors · min. $25,000 · role: Executive Officer (Chief Financial Officer and Secretary of the Issuer) EDGAR ↗
  • Feb 28, 2025 · D · $20,750,000 sold of $20,750,000 · 7 investors · min. $25,000 · role: Executive Officer (Chief Financial Officer and Secretary of the Issuer) EDGAR ↗
  • Mar 8, 2024 · D · $12,870,000 sold of $12,870,000 · 31 investors · min. $25,000 · role: Executive Officer (Chief Financial Officer of the Issuer) EDGAR ↗
  • Feb 22, 2024 · D · $14,500,000 sold of Indefinite · 1 investors · min. $14,500,000 · role: Executive Officer (Chief Financial Officer of the Issuer) EDGAR ↗

Raised $62.6M from 31 investors (100% of the $62.6M target) as of the latest filing. John is listed as executive officer on 5 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

NB
Biotechnology

Nexsis Biosciences LLC

St. Augustine, FL · Jun 24, 2024
  • Jun 24, 2024 · D · $725,000 sold of $725,000 · 13 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $725K from 13 investors (100% of the $725K target) as of the latest filing. John is listed as executive officer.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

GC
Biotechnology

GENELUX Corp

Westlake Village, CA · Apr 9, 2009 → Jun 29, 2023 · 5 filings
  • Jun 29, 2023 · D · $5,500,000 sold of $18,000,000 · 19 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 15, 2023 · D · $18,304,319 sold of $33,304,319 · 69 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 6, 2012 · D · $481,268 sold of $48,000,000 · 8 investors · min. $30,000 · role: Director EDGAR ↗
  • Jul 9, 2010 · D · $80,000 sold of $25,000,000 · 3 investors · min. $20,000 · role: Director EDGAR ↗
  • Apr 9, 2009 · D · $48,000 sold of $25,000,000 · 1 investors · min. $18,000 · role: Director EDGAR ↗

Raised $18.3M from 69 investors (100% of the $18M target) as of the latest filing. John is listed as director on 5 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

EL
Other Banking and Financial Services · group: Oaktree

Encina Lender Finance, LLC

Roswell, GA · Nov 4, 2020
  • Nov 4, 2020 · D · $3,618,462 sold of $3,618,462 · 5 investors · min. No minimum reported · role: Executive Officer, Director (Board Director and Vice President) EDGAR ↗

Raised $3.62M from 5 investors (100% of the $3.62M target) as of the latest filing. John is listed as executive officer, director.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Banking and Financial Services / 506(b) (1,630 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

EL
Other Banking and Financial Services · group: Oaktree

Encina Lender Finance Intermediate SPV, LLC

Roswell, GA · Nov 4, 2020
  • Nov 4, 2020 · D · $100,000,100 sold of Indefinite · 2 investors · min. No minimum reported · role: Executive Officer, Director (Board Director and Vice President) EDGAR ↗

Raised $100M from 2 investors as of the latest filing. John is listed as executive officer, director.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Banking and Financial Services / 506(b) (1,630 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

JL
Other Technology

JAM-Labs Corp

Fremont, CA · Jan 10, 2020
  • Jan 10, 2020 · D · $1,200,000 sold of $1,200,000 · 3 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $1.2M from 3 investors (100% of the $1.2M target) as of the latest filing. John is listed as executive officer.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

ST
Other Health Care

SmartPharm Therapeutics, Inc.

Aspen, CO · Apr 8, 2019
  • Apr 8, 2019 · D · $10,527,003 sold of $10,527,003 · 27 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $10.5M from 27 investors (100% of the $10.5M target) as of the latest filing. John is listed as executive officer.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Health Care / 506(b) (4,189 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

HC
Biotechnology

H-CYTE, INC.

Tampa, FL · Apr 7, 2015 → May 16, 2018 · 3 filings
  • May 16, 2018 · D · $340,000 sold of $1,000,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 3, 2016 · D · $1,398,033 sold of $2,000,000 · 32 investors · min. $100,000 · role: Director EDGAR ↗
  • Apr 7, 2015 · D · $0 sold of Indefinite · 92 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $6M from 92 investors (100% of the $1M target) as of the latest filing. John is listed as director on 3 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

CC
Biotechnology

CORMATRIX CARDIOVASCULAR INC

Roswell, GA · Jun 16, 2011 → Apr 20, 2018 · 6 filings
  • Apr 20, 2018 · D · $0 sold of $8,000,000 · 0 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Jan 16, 2015 · D/A · $1,000,000 sold of $25,000,000 · 2 investors · min. $500,000 · role: Executive Officer, Director EDGAR ↗
  • Jan 17, 2014 · D · $250,000 sold of $25,000,000 · 1 investors · min. $250,000 · role: Executive Officer EDGAR ↗
  • Oct 15, 2013 · D/A · $24,610,032 sold of $25,000,000 · 34 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Jun 11, 2012 · D/A · $15,360,015 sold of $25,000,000 · 23 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Jun 16, 2011 · D · $0 sold of $25,000,000 · 0 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $24.6M from 34 investors (100% of the $8M target) as of the latest filing. John is listed as executive officer, director on 6 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

I
Biotechnology

ImmunityBio, Inc.

San Diego, CA · Dec 29, 2014 → Aug 5, 2015 · 5 filings
  • Aug 5, 2015 · D · $17,000,000 sold of $17,000,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 17, 2015 · D/A · $78,004,041 sold of $78,004,041 · 11 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 24, 2015 · D · $71,004,041 sold of $71,004,041 · 9 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 5, 2015 · D · $47,495,481 sold of $47,495,481 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 29, 2014 · D · $10,000,000 sold of $10,000,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $470M from 48 investors (100% of the $17M target) as of the latest filing. John is listed as director on 5 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

PM
Commercial Banking

PACIFIC MERCANTILE BANCORP

Costa Mesa, CA · Dec 16, 2009 → May 28, 2013 · 7 filings
  • May 28, 2013 · D · $14,999,998 sold of $14,999,998 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 7, 2012 · D · $26,395,160 sold of $26,395,160 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 12, 2011 · D · $11,200,000 sold of $11,200,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 19, 2011 · D · $1,767,107 sold of $1,767,107 · 35 investors · min. $5,000 · role: Director EDGAR ↗
  • Oct 13, 2010 · D/A · $12,655,000 sold of $15,500,000 · 31 investors · min. $100,000 · role: Director EDGAR ↗
  • Jan 13, 2010 · D/A · $8,250,000 sold of $15,500,000 · 18 investors · min. $100,000 · role: Director EDGAR ↗
  • Dec 16, 2009 · D · $6,900,000 sold of $15,500,000 · 11 investors · min. $100,000 · role: Director EDGAR ↗

Raised $26.4M from 35 investors (100% of the $15M target) as of the latest filing. John is listed as director on 7 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.

AG
Construction

Associated General Contractors of Colorado, Building Chapter Inc.

Denver, CO · Apr 10, 2012
  • Apr 10, 2012 · D · $500,000 sold of $500,000 · 8 investors · min. $50,000 · role: Director EDGAR ↗

Raised $500K from 8 investors (100% of the $500K target) as of the latest filing. John is listed as director.

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.

CN
Other Health Care

ClearPoint Neuro, Inc.

Solana Beach, CA · Nov 6, 2009 → Oct 22, 2010 · 3 filings
  • Oct 22, 2010 · D · $0 sold of $3,000,000 · 0 investors · min. No minimum reported · role: Director (Director) EDGAR ↗
  • Mar 4, 2010 · D · $0 sold of $4,600,000 · 0 investors · min. No minimum reported · role: Executive Officer, Director (Chief Financial Officer and Director) EDGAR ↗
  • Nov 6, 2009 · D · $2,000,000 sold of $4,250,000 · 1 investors · min. $2,000,000 · role: Executive Officer, Director (Chief Financial Officer and Director) EDGAR ↗

Raised $17.9M from 74 investors (100% of the $3M target) as of the latest filing. John is listed as director, executive officer on 3 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.

HA
Other

H2O AUDIO, INC

San Diego, CA · Jul 12, 2010
  • Jul 12, 2010 · D · $773,693 sold of $1,786,928 · 2 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $1M from 2 investors (56% of the $1.79M target) as of the latest filing. John is listed as director.

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.

D
Biotechnology

DemeRx, Inc.

Fort Lauderdale, FL · May 3, 2010 → Jun 21, 2010 · 2 filings
  • Jun 21, 2010 · D · $0 sold of $15,000,000 · 0 investors · min. $2 · role: Executive Officer EDGAR ↗
  • May 3, 2010 · D · $85 sold of Indefinite · 5 investors · min. $5 · role: Executive Officer EDGAR ↗

Raised $5.14M from 35 investors (34% of the $15M target) as of the latest filing. John is listed as executive officer 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 (20)

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

  • John D. Thomas — UT, 5 issuers, Apr 29, 2016 → Jan 23, 2020 · no shared issuer
  • JOHN THOMAS — TX, 5 issuers, Jan 25, 2019 → Sep 22, 2020 · no shared issuer
  • John Thomas — AL, 3 issuers, Nov 29, 2021 → Dec 20, 2024 · no shared issuer
  • John E. Thomas, Jr. — PA, 3 issuers, Apr 1, 2010 → Apr 6, 2018 · no shared issuer
  • John Thomas — Ontario, Canada (as filed: A6), 3 issuers, Aug 19, 2010 → Sep 19, 2025 · no shared issuer
  • John T. Thomas — WI, 2 issuers, Aug 9, 2013 → Dec 29, 2021 · no shared issuer
  • John Ralph Thomas — PA, 2 issuers, Dec 18, 2009 → Dec 18, 2009 · no shared issuer
  • John David Thomas — MI, 1 issuer, Jul 31, 2009 → Jul 31, 2009 · no shared issuer
  • John S Thomas — MS, 1 issuer, Feb 25, 2010 → Feb 25, 2010 · no shared issuer
  • John R. Thomas — TX, 1 issuer, Aug 12, 2010 → Jul 12, 2013 · no shared issuer
  • John Thomas — OH, 1 issuer, Jul 19, 2011 → Jul 19, 2011 · no shared issuer
  • John Alan Thomas — Quebec, Canada (as filed: A8), 1 issuer, Feb 28, 2012 → Dec 17, 2013 · no shared issuer
  • John W. Thomas — KY, 1 issuer, Aug 16, 2012 → Aug 24, 2012 · no shared issuer
  • John A. Thomas — FL, 1 issuer, May 27, 2014 → May 27, 2014 · no shared issuer
  • John Thomas — IL, 1 issuer, Mar 21, 2016 → Mar 25, 2016 · no shared issuer
  • John Anthony Thomas — Virgin Islands, U.S. (as filed: VI), 1 issuer, Aug 10, 2020 → Aug 10, 2020 · no shared issuer
  • John O Thomas — MO, 1 issuer, Nov 5, 2021 → Nov 5, 2021 · no shared issuer
  • John Thomas — NE, 1 issuer, Apr 14, 2023 → Apr 14, 2023 · no shared issuer
  • John Thomas — TN, 1 issuer, Aug 8, 2025 → Aug 8, 2025 · no shared issuer
  • John J. Thomas — AL, 1 issuer, Jul 22, 2009 → Dec 21, 2009 · no shared issuer

People around John 40

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.

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

Steve Gorlin

Executive Officer, Director · 13 shared filings (5 issuers) · also on 10 other issuers

Steve Gorlin is on 15 issuers in total — a repeat sponsor. Their page lists every one.

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

Nancy A. Gray

Executive Officer · 7 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Warren T. Finley

Director · 7 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Raymond E. Dellerba

Executive Officer, Director · 7 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Gary M. Williams

Director · 7 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

George H. Wells

Director · 6 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Robert Gordon Matheny

Executive Officer, Director, Promoter · 6 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Beecher Chewing Lewis

Executive Officer, Director · 6 shared filings (2 issuers)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Matthew F Schafnitz

Director · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Charles E. Koob

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

Listed on the same filings as John Thomas. Their page shows their other deals.

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

David Bannerman Camp

Executive Officer, Director, Promoter · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Blane Horton Crutchfield

Director · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Jason Manouchehr Aryeh

Director · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Robert Rosen

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

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Richard Kusserow

Director · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Richard Gomberg

Executive Officer · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Edward J. Benz, Jr.

Director · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Clifford C. Dasco, M.D.

Director, Executive Officer · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

David Lonard, PhD

Executive Officer · 5 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Richard Ferrari

Director · 4 shared filings (1 issuer) · also on 16 other issuers

Richard Ferrari is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

John Ellis Bush

Director · 4 shared filings (1 issuer) · also on 16 other issuers

John Ellis Bush is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

Andrew Phillips

Director · 4 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

George L. Argyros

Director · 4 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Bert W. O'Malley

Director · 4 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

James C. Tyree

Director · 3 shared filings (1 issuer) · also on 8 other issuers

James C. Tyree is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Aladar A. Szalay

Director, Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Lenox Baker

Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Kimble L. Jenkins

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Oscar L. Thomas, Jr.

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Peter G. Piferi

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Henry Ji, Ph.D.

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

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Randal Betz

Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Jarrett Gorlin

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

James R. Andrews

Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Charles Farrahar

Executive Officer · 3 shared filings (1 issuer) · also on 4 other issuers

Charles Farrahar is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Dennis Moon

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Barry J. Simon, M.D.

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Patrick Soon-Shiong, M.D.

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

John T. Potts, Jr., M.D.

Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

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

Lee Fleisher, M.D.

Director · 3 shared filings (1 issuer)

Listed on the same filings as John Thomas. Their page shows their other deals.

The team behind the deals

O
Sponsor group

Oaktree

322 issuers · 1021 filings · $132.91B reported sold · 2009–2026

One team, 322 deal companies. John Thomas is listed on 2 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 John Thomas.

Same business address

11 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 15 issuers 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 John Thomas 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 15 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers John Thomas is listed on: none on file. No website or social profile named in Encina Lender Finance Intermediate SPV, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #206,008 of 374,652 in line (1,383 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 (Roswell, GA). 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) ↗California — find the county court ↗Los Angeles Superior Court case search ↗Georgia state courts — find the court ↗Colorado state courts — find the court ↗Hillsborough County FL Clerk (HOVER) ↗Miami-Dade Clerk online case search ↗Texas re:SearchTX court records ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗Georgia Secretary of State business search ↗Colorado Secretary of State business search ↗Florida Secretary of State business search ↗Texas Secretary of State business search ↗OpenCorporates ↗

Change history

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