KATE STUART is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Nov 2013 and Jan 2014: SYMIC BIOMEDICAL, INC. (San Francisco, CA — biotechnology — 2013–2014; $1.38M reported sold to 16 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside ALYSSA PANITCH (2 shared filings), JOHN PADERI (2 shared filings) and Kenneth N. Horne (2 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around KATE. Each name links to their own page.
The issuer belongs to the sponsor group Symic (2 issuers, $30.8M reported sold, 2013–2017).
What this means A sponsor group is one team that sets up a new company for each deal. Symic has 2 companies on file and $30.8M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 2 public filings for KATE STUART and found 2 differences: Offering amount changed between filings; No amendment in the last 12 months on an offering that may still be open.
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.