Sponsor Check › Person
Related person on Form D filings · address states as listed: CA, GA, CO, FL · listed Apr 9, 2009 → Jun 29, 2023
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:57 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. 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.
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Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. 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.
Comparisons are made for sponsors and sponsor groups, not individual people.
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)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | May 22, 2025 D File 021-546928 | $4,130,000 (est.) | $0 | $0 | 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 28, 2025 D File 021-539551 | $1,400,000 (est.) | $0 | $0 | 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 28, 2025 D File 021-539577 | $700,000 (est.) | $0 | $0 | 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 ↗ | Jun 24, 2024 D File 021-516690 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 8, 2024 D 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 File 021-505805 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 29, 2023 D File 021-485461 | $0 | $200,000 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 15, 2023 D File 021-484299 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Nov 4, 2020 D File 021-379637 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Nov 4, 2020 D File 021-379638 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 10, 2020 D File 021-357696 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 8, 2019 D File 021-336656 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 16, 2018 D File 021-312574 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 20, 2018 D File 021-310670 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 3, 2016 D File 021-262510 | $167,764 | $0 | $0 | Laidlaw and Company (UK) Ltd. BrokerCheck CRD 119037 ↗ |
| EDGAR ↗ | Aug 5, 2015 D File 021-245114 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 17, 2015 D/A File 021-242356 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 7, 2015 D File 021-237425 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 16, 2015 D/A File 021-210324 | $1,500,000 (est.) | $0 | $0 | Newport Coast Securities BrokerCheck CRD 16944 ↗ via Newport Coast Securities (CRD 16944 ↗) |
| EDGAR ↗ | Jan 5, 2015 D File 021-231393 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Dec 29, 2014 D File 021-230934 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 15, 2013 D/A File 021-161400 | $0 | $1,119,502 | $702,000 $702,000 paid to two independent directors as finders' fees. | None listed on this filing |
| EDGAR ↗ | May 28, 2013 D File 021-197088 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 6, 2012 D 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 filing |
| EDGAR ↗ | May 7, 2012 D File 021-177734 | $1,578,000 | $0 | $0 | Keefe, Bruyette & Woods, Inc. BrokerCheck CRD 481 ↗ |
| EDGAR ↗ | Apr 10, 2012 D File 021-176463 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 12, 2011 D File 021-165630 | $672,000 | $0 | $0 | Keefe, Bruyette & Woods, Inc. BrokerCheck CRD 481 ↗ |
| EDGAR ↗ | Jul 19, 2011 D File 021-163086 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Oct 22, 2010 D File 021-149461 | $0 | $0 | $0 All proceeds to be used for general corporate purposes and working capital. | None no CRD number reported |
| EDGAR ↗ | Oct 13, 2010 D/A File 021-136962 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 12, 2010 D File 021-144697 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 9, 2010 D File 021-144635 | $0 (est.) | $0 (est.) | $0 (est.) | None listed on this filing |
| EDGAR ↗ | Jun 21, 2010 D File 021-143781 | $0 | $0 | $100,000 (est.) Reimbursement for offering expenses | None listed on this filing |
| EDGAR ↗ | May 3, 2010 D File 021-141447 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 4, 2010 D 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 File 021-55033 | $0 (est.) | $0 (est.) | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | CoRegen, Inc. | Executive Officer Chief Financial Officer and Secretary of Issuer | May 22, 2025 | D | $62,640,000 similar: $2,000,000–$19,999,994 | $62,640,000 | 8 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | CoRegen, Inc. | Executive Officer Chief Financial Officer and Secretary of the Issuer | Feb 28, 2025 | D | $10,000,002 similar: $2,000,000–$19,999,994 | $10,000,002 | 1 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | CoRegen, Inc. | Executive Officer Chief Financial Officer and Secretary of the Issuer | Feb 28, 2025 | D | $20,750,000 similar: $2,000,000–$19,999,994 | $20,750,000 | 7 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | Nexsis Biosciences LLC | Executive Officer | Jun 24, 2024 | D | $725,000 similar: $2,000,000–$19,999,994 | $725,000 | 13 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | CoRegen, Inc. | Executive Officer Chief Financial Officer of the Issuer | Mar 8, 2024 | D | $12,870,000 similar: $2,000,000–$19,999,994 | $12,870,000 | 31 similar: 2–16 | $25,000 similar: $10,000–$50,000 |
| EDGAR ↗ | CoRegen, Inc. | Executive Officer Chief Financial Officer of the Issuer | Feb 22, 2024 | D | Indefinite similar: $2,000,000–$19,999,994 | $14,500,000 | 1 similar: 2–16 | $14,500,000 similar: $10,000–$50,000 |
| EDGAR ↗ | GENELUX Corp | Director | Jun 29, 2023 | D | $18,000,000 similar: $2,000,000–$19,999,994 | $5,500,000 | 19 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | GENELUX Corp | Director | Jun 15, 2023 | D | $33,304,319 similar: $2,000,000–$19,999,994 | $18,304,319 | 69 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Encina Lender Finance, LLC group: Oaktree | Executive Officer, Director Board Director and Vice President | Nov 4, 2020 | D | $3,618,462 similar: $2,144,500–$20,220,000 | $3,618,462 | 5 similar: 2–24 | No minimum reported similar: $10,000–$100,000 |
| EDGAR ↗ | Encina Lender Finance Intermediate SPV, LLC group: Oaktree | Executive Officer, Director Board Director and Vice President | Nov 4, 2020 | D | Indefinite similar: $2,144,500–$20,220,000 | $100,000,100 | 2 similar: 2–24 | No minimum reported similar: $10,000–$100,000 |
| EDGAR ↗ | JAM-Labs Corp | Executive Officer | Jan 10, 2020 | D | $1,200,000 similar: $1,100,015–$10,001,163 | $1,200,000 | 3 similar: 2–14 | No minimum reported similar: $5,000–$50,000 |
| EDGAR ↗ | SmartPharm Therapeutics, Inc. | Executive Officer | Apr 8, 2019 | D | $10,527,003 similar: $829,831–$9,999,998 | $10,527,003 | 27 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | H-CYTE, INC. | Director | May 16, 2018 | D | $1,000,000 similar: $2,000,000–$19,999,994 | $340,000 | 7 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | CORMATRIX CARDIOVASCULAR INC | Executive Officer | Apr 20, 2018 | D | $8,000,000 similar: $2,000,000–$19,999,994 | $0 | 0 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | H-CYTE, INC. | Director | May 3, 2016 | D | $2,000,000 similar: $829,831–$9,999,998 | $1,398,033 | 32 similar: 2–15 | $100,000 similar: $10,000–$54,310 |
| EDGAR ↗ | ImmunityBio, Inc. | Director | Aug 5, 2015 | D | $17,000,000 similar: $2,000,000–$19,999,994 | $17,000,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ImmunityBio, Inc. | Director | Jul 17, 2015 | D/A | $78,004,041 similar: $2,000,000–$19,999,994 | $78,004,041 | 11 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ImmunityBio, Inc. | Director | Jun 24, 2015 | D | $71,004,041 similar: $2,000,000–$19,999,994 | $71,004,041 | 9 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | H-CYTE, INC. | Director | Apr 7, 2015 | D | Indefinite similar: $829,831–$9,999,998 | $0 | 92 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | CORMATRIX CARDIOVASCULAR INC | Executive Officer, Director | Jan 16, 2015 | D/A | $25,000,000 similar: $2,000,000–$19,999,994 | $1,000,000 | 2 similar: 2–16 | $500,000 similar: $10,000–$50,000 |
| EDGAR ↗ | ImmunityBio, Inc. | Director | Jan 5, 2015 | D | $47,495,481 similar: $2,000,000–$19,999,994 | $47,495,481 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | ImmunityBio, Inc. | Director | Dec 29, 2014 | D | $10,000,000 similar: $2,000,000–$19,999,994 | $10,000,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | CORMATRIX CARDIOVASCULAR INC | Executive Officer | Jan 17, 2014 | D | $25,000,000 similar: $2,000,000–$19,999,994 | $250,000 | 1 similar: 2–16 | $250,000 similar: $10,000–$50,000 |
| EDGAR ↗ | CORMATRIX CARDIOVASCULAR INC | Executive Officer, Director | Oct 15, 2013 | D/A | $25,000,000 similar: $2,000,000–$19,999,994 | $24,610,032 | 34 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PACIFIC MERCANTILE BANCORP | Director | May 28, 2013 | D | $14,999,998 | $14,999,998 | 2 | No minimum reported |
| EDGAR ↗ | CORMATRIX CARDIOVASCULAR INC | Executive Officer, Director | Jun 11, 2012 | D/A | $25,000,000 | $15,360,015 | 23 | No minimum reported |
| EDGAR ↗ | GENELUX Corp | Director | Jun 6, 2012 | D | $48,000,000 | $481,268 | 8 | $30,000 |
| EDGAR ↗ | PACIFIC MERCANTILE BANCORP | Director | May 7, 2012 | D | $26,395,160 | $26,395,160 | 3 | No minimum reported |
| EDGAR ↗ | Associated General Contractors of Colorado, Building Chapter Inc. | Director | Apr 10, 2012 | D | $500,000 | $500,000 | 8 | $50,000 |
| EDGAR ↗ | PACIFIC MERCANTILE BANCORP | Director | Sep 12, 2011 | D | $11,200,000 | $11,200,000 | 3 | No minimum reported |
| EDGAR ↗ | PACIFIC MERCANTILE BANCORP | Director | Jul 19, 2011 | D | $1,767,107 | $1,767,107 | 35 | $5,000 |
| EDGAR ↗ | CORMATRIX CARDIOVASCULAR INC | Executive Officer, Director | Jun 16, 2011 | D | $25,000,000 | $0 | 0 | No minimum reported |
| EDGAR ↗ | ClearPoint Neuro, Inc. | Director Director | Oct 22, 2010 | D | $3,000,000 | $0 | 0 | No minimum reported |
| EDGAR ↗ | PACIFIC MERCANTILE BANCORP | Director | Oct 13, 2010 | D/A | $15,500,000 | $12,655,000 | 31 | $100,000 |
| EDGAR ↗ | H2O AUDIO, INC | Director | Jul 12, 2010 | D | $1,786,928 | $773,693 | 2 | No minimum reported |
| EDGAR ↗ | GENELUX Corp | Director | Jul 9, 2010 | D | $25,000,000 | $80,000 | 3 | $20,000 |
| EDGAR ↗ | DemeRx, Inc. | Executive Officer | Jun 21, 2010 | D | $15,000,000 | $0 | 0 | $2 |
| EDGAR ↗ | DemeRx, Inc. | Executive Officer | May 3, 2010 | D | Indefinite | $85 | 5 | $5 |
| EDGAR ↗ | ClearPoint Neuro, Inc. | Executive Officer, Director Chief Financial Officer and Director | Mar 4, 2010 | D | $4,600,000 | $0 | 0 | No minimum reported |
| EDGAR ↗ | PACIFIC MERCANTILE BANCORP | Director | Jan 13, 2010 | D/A | $15,500,000 | $8,250,000 | 18 | $100,000 |
| EDGAR ↗ | PACIFIC MERCANTILE BANCORP | Director | Dec 16, 2009 | D | $15,500,000 | $6,900,000 | 11 | $100,000 |
| EDGAR ↗ | ClearPoint Neuro, Inc. | Executive Officer, Director Chief Financial Officer and Director | Nov 6, 2009 | D | $4,250,000 | $2,000,000 | 1 | $2,000,000 |
| EDGAR ↗ | GENELUX Corp | Director | Apr 9, 2009 | D | $25,000,000 | $48,000 | 1 | $18,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); Other Banking and Financial Services / 506(b) (1,630 filings); Other Technology / 506(b) (17,390 filings); 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.
Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as John Thomas. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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