John Graves is listed as an executive officer, director, and promoter on 5 SEC Form D filings by 3 issuers between Mar 2009 and Jun 2017: INVESTCORP HAWKSTONE EUROPE L/S FUND, Ltd (George Town, Cayman Islands (as filed: E9) — pooled investment fund — 2009; $43M reported sold to 1 investors), Graphika, Inc (New York, NY — computers — 2014–2017; $3.44M reported sold to 21 investors) and INVESTCORP HAWKSTONE EUROPE L/S FUND LP (New York, NY — pooled investment fund — 2009).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, director, and promoter, over about 8 years. Across those companies the filings report $46.4M sold in total.
Listed alongside John W. Kelly (3 shared filings), Montgomery Kersten (3 shared filings), Christophe Arroyo (2 shared filings), Rene Boettcher (2 shared filings), Adam Fields (1 shared filing) and 14 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 Investcorp Hawkstone Europe (2 issuers, $43M reported sold, 2009).
What this means A sponsor group is one team that sets up a new company for each deal. Investcorp Hawkstone Europe has 2 companies on file and $43M 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) — 1 SEC release, 5 bankruptcy cases matching the name listed in Key records below.
What this means 6 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 5 public filings for John Graves and found 9 differences, 2 worth asking the sponsor about: Regulator action naming a team member: John Michael Kelly, Steven E. Rindner, Joseph A. Ripp, and Mark Wovsaniker; David M. Colburn, Eric L. Keller, James F. MacGuidwin, and Jay B. Rappaport (May 19, 2008); 4 Form Ds were filed more than 15 days after the first sale; 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.