Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:00 AM ET

Sponsor Check › Person

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Keith Klein

Named as an officer, director or promoter on SEC Form D filings · CA · Jul 1, 2010 → Dec 1, 2016

3deals (issuers)

$188.9Mreported sold

67investors

7Form D filings

2010–2016years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:22 AM ET · SEC enforcement last checked: Oct 24, 2026, 1:37 AM ET

The short version

Keith Klein is listed as an executive officer and director on 7 SEC Form D filings by 3 issuers between Jul 2010 and Dec 2016: Unity Biotechnology, Inc. (Brisbane, CA — pharmaceuticals — 2016; $151.2M reported sold to 38 investors), KYTHERA BIOPHARMACEUTICALS INC (Calabasas, CA — pharmaceuticals — 2011; $37.4M reported sold to 20 investors) and ClickN KIDS INC. (Agoura Hills, CA — other technology — 2010–2013; $212K reported sold to 9 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 6 years. Across those companies the filings report $188.9M sold in total.

Listed alongside Alan Ray Scalone (5 shared filings), David Koenig (5 shared filings), Norman Carabet (5 shared filings), Armie Carabet (3 shared filings), Armyn Carabet (2 shared filings) and 15 others.

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 1 court case matching the name, 27 bankruptcy cases matching the name listed in Key records below.

What this means 28 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 7 public filings for Keith Klein and found 8 differences, 1 worth asking the sponsor about: Keith Klein is no longer listed on the Aug 21, 2017 amendment; 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 Keith Klein has not run yet — it is joining a line of 45,089 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 closed (disposition not in docket feed)

Carl David Mendlow v. Keith Klein closed

District Court, C.D. California · No. 2:19-cv-01771 · Filed Mar 11, 2019 · Closed Nov 13, 2019 · Nature of suit: 410 Anti-Trust · Cause: 28:1331 Fed. Question

Role of Keith Klein: Defendant · Outcome: Terminated 2019-11-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 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, 2:22 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

None found in sources searched — SEC enforcement releases (checked Oct 24, 2026) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases + SEC administrative proceedings (sec.gov index, 1995-09-19 → 2026-10-23) — last checked Oct 24, 2026, 1:37 AM ET.

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), 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), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

27 cases: 27 closed (disposition not in docket feed)

Keith Klein closed

United States Bankruptcy Court, W.D. Pennsylvania · No. 21-10288 · Filed May 20, 2021 · Closed Oct 6, 2021

Role of Keith Klein: Debtor · Outcome: Case closed 2021-10-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in PA (not a filing state)

Keith L. Klein closed

United States Bankruptcy Court, W.D. Texas · No. 15-52174 · Filed Sep 4, 2015 · Closed Jun 7, 2019

Role of Keith L. Klein: Debtor · Outcome: Case closed 2019-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)

Keith Klein closed

United States Bankruptcy Court, S.D. Alabama · No. 14-03787 · Filed Nov 18, 2014 · Closed May 6, 2016

Role of Keith Klein: Debtor · Outcome: Case closed 2016-05-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in AL (not a filing state)

Keith B. Klein and Kimberley P. Klein closed

United States Bankruptcy Court, N.D. Iowa · No. 13-00927 · Filed Jun 4, 2013 · Closed Oct 30, 2013

Role of Keith B. Klein and Kimberley P. Klein: Debtor · Outcome: Case closed 2013-10-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in IA (not a filing state)

Keith Klein closed

United States Bankruptcy Court, S.D. Alabama · No. 13-00907 · Filed Mar 15, 2013 · Closed Aug 14, 2013

Role of Keith Klein: Debtor · Outcome: Case closed 2013-08-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in AL (not a filing state)

Keith Klein closed

United States Bankruptcy Court, S.D. Alabama · No. 12-02073 · Filed Jun 14, 2012 · Closed Jan 7, 2013

Role of Keith Klein: Debtor · Outcome: Case closed 2013-01-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in AL (not a filing state)

Keith L Klein and Debbie L Klein closed

United States Bankruptcy Court, N.D. Illinois · No. 11-27156 · Filed Jun 30, 2011 · Closed Oct 1, 2013

Role of Keith L Klein and Debbie L Klein: Debtor · Outcome: Case closed 2013-10-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in IL (not a filing state)

Keith Klein closed

United States Bankruptcy Court, S.D. Alabama · No. 11-02606 · Filed Jun 28, 2011 · Closed Jun 22, 2012

Role of Keith Klein: Debtor · Outcome: Case closed 2012-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in AL (not a filing state)

Keith L. Klein and Sandra Klein closed

United States Bankruptcy Court, W.D. Texas · No. 09-54020 · Filed Oct 12, 2009 · Closed Jun 24, 2014

Role of Keith L. Klein and Sandra Klein: Debtor · Outcome: Case closed 2014-06-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)

Keith A. Klein and Elizabeth J. Klein closed

United States Bankruptcy Court, W.D. North Carolina · No. 09-11066 · Filed Sep 28, 2009 · Closed Dec 23, 2010

Role of Keith A. Klein and Elizabeth J. Klein: Debtor · Outcome: Case closed 2010-12-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in NC (not a filing state)

Keith G. Klein closed

United States Bankruptcy Court, N.D. Indiana · No. 08-10836 · Filed Mar 21, 2008 · Closed Jun 9, 2009

Role of Keith G. Klein: Debtor · Outcome: Case closed 2009-06-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in IN (not a filing state)

Keith D. Klein closed

United States Bankruptcy Court, N.D. Ohio · No. 06-15338 · Filed Nov 1, 2006 · Closed Oct 15, 2009

Role of Keith D. Klein: Debtor · Outcome: Case closed 2009-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)

Keith D. Klein closed

United States Bankruptcy Court, N.D. Ohio · No. 05-75080 · Filed Oct 14, 2005 · Closed Apr 17, 2006

Role of Keith D. Klein: Debtor · Outcome: Case closed 2006-04-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)

Keith A. Klein closed

United States Bankruptcy Court, E.D. Wisconsin · No. 04-26730 · Filed May 3, 2004 · Closed Sep 15, 2004

Role of Keith A. Klein: Debtor · Outcome: Case closed 2004-09-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in WI (not a filing state)

Keith Klein closed

United States Bankruptcy Court, M.D. Pennsylvania · No. 1:03-bk-00590 · Filed Jan 31, 2003 · Closed Feb 4, 2004

Role of Keith Klein: Debtor · Outcome: Case closed 2004-02-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in PA (not a filing state)

Keith J Klein closed

United States Bankruptcy Court, E.D. New York · No. 1-00-16527 · Filed Jun 16, 2000 · Closed Feb 26, 2001

Role of Keith J Klein: Debtor · Outcome: Case closed 2001-02-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in NY (not a filing state)

Keith E Klein closed

United States Bankruptcy Court, W.D. Texas · No. 00-50294 · Filed Jan 25, 2000 · Closed May 19, 2000

Role of Keith E Klein: Debtor · Outcome: Case closed 2000-05-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in TX (not a filing state)

Keith K. Klein closed

United States Bankruptcy Court, D. New Jersey · No. 99-63340 · Filed Nov 30, 1999 · Closed Mar 30, 2000

Role of Keith K. Klein: Debtor · Outcome: Case closed 2000-03-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)

Keith Klein closed

United States Bankruptcy Court, N.D. Iowa · No. 99-00090 · Filed Jan 19, 1999 · Closed May 10, 2000

Role of Keith Klein: Debtor · Outcome: Case closed 2000-05-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in IA (not a filing state)

Keith E. Klein closed

United States Bankruptcy Court, M.D. Pennsylvania · No. 1:98-bk-01075 · Filed Mar 6, 1998 · Closed Jan 19, 1999

Role of Keith E. Klein: Debtor · Outcome: Case closed 1999-01-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in PA (not a filing state)

Keith Klein and Kristy Klein closed

United States Bankruptcy Court, D. North Dakota · No. 96-30635 · Filed May 20, 1996 · Closed Aug 27, 1996

Role of Keith Klein and Kristy Klein: Debtor · Outcome: Case closed 1996-08-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in ND (not a filing state)

KEITH K KLEIN closed

United States Bankruptcy Court, D. Minnesota · No. 95-32579 · Filed May 25, 1995 · Closed Sep 21, 1995

Role of KEITH K KLEIN: Debtor · Outcome: Case closed 1995-09-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in MN (not a filing state)

Keith Klein and Patricia Klein closed

United States Bankruptcy Court, S.D. Alabama · No. 93-10562 · Filed Apr 6, 1993 · Closed Dec 9, 1993

Role of Keith Klein and Patricia Klein: Debtor · Outcome: Case closed 1993-12-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in AL (not a filing state)

Keith R. Klein closed

United States Bankruptcy Court, D. New Jersey · No. 91-34118 · Filed Jul 18, 1991 · Closed Nov 15, 1991

Role of Keith R. Klein: Debtor · Outcome: Case closed 1991-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)

Keith R. Klein closed

United States Bankruptcy Court, D. New Jersey · No. 91-34117 · Filed Jul 18, 1991 · Closed Nov 15, 1991

Role of Keith R. Klein: Debtor · Outcome: Case closed 1991-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in NJ (not a filing state)

Keith D. Klein closed

United States Bankruptcy Court, N.D. Ohio · No. 91-30009 · Filed Jan 2, 1991 · Closed Mar 5, 1991

Role of Keith D. Klein: Debtor · Outcome: Case closed 1991-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 people with this name in Form D filings; court in OH (not a filing state)

Keith W. Klein and Joann E. Klein closed

United States Bankruptcy Court, S.D. California · No. 90-04523 · Filed May 31, 1990 · Closed Oct 15, 1990

Role of Keith W. Klein and Joann E. Klein: Debtor · Outcome: Case closed 1990-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 44 federal dockets); 2 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, 2:22 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

8 differences found between the filings for Keith Klein — 1 worth asking about (compared 7 filings on Oct 24, 2026)

Note · Jul 7, 2014

Keith Klein appears on 1 deal that stopped filing before reaching its target

ClickN KIDS INC. (last filing Jul 7, 2014; $212,000 sold of $4,200,000). 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.

ClickN KIDS INC. — PartnerFacts page ↗

Sources

ClickN KIDS INC. — PartnerFacts page ↗ (Jul 7, 2014)

Note · Oct 14, 2016 – Dec 1, 2016

Form D filed 48 days after the first sale — Unity Biotechnology, Inc.

The filing says the first sale was Oct 14, 2016. The Form D was filed Dec 1, 2016 — 48 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 33 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Dec 1, 2016 ↗Unity Biotechnology, Inc. — PartnerFacts page ↗

Sources

Form D · Dec 1, 2016 ↗ (Dec 1, 2016)
Unity Biotechnology, Inc. — PartnerFacts page ↗ (Mar 27, 2018)

Note · Aug 30, 2011 – Sep 15, 2011

Form D filed 16 days after the first sale — KYTHERA BIOPHARMACEUTICALS INC

The filing says the first sale was Aug 30, 2011. The Form D was filed Sep 15, 2011 — 16 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Sep 15, 2011 ↗KYTHERA BIOPHARMACEUTICALS INC — PartnerFacts page ↗

Sources

Form D · Sep 15, 2011 ↗ (Sep 15, 2011)
KYTHERA BIOPHARMACEUTICALS INC — PartnerFacts page ↗ (Sep 15, 2011)

Note · Aug 30, 2011 – Sep 15, 2011

No amendment in the last 12 months on an offering that may still be open — KYTHERA BIOPHARMACEUTICALS INC (latest filing Sep 15, 2011)

The latest filing for this offering is dated Sep 15, 2011 (first sale Aug 30, 2011). It reports $37,424,989 sold of $52,424,997 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Sep 15, 2011 ↗KYTHERA BIOPHARMACEUTICALS INC — PartnerFacts page ↗

Sources

Form D · Sep 15, 2011 ↗ (Sep 15, 2011)
KYTHERA BIOPHARMACEUTICALS INC — PartnerFacts page ↗ (Sep 15, 2011)

Worth asking · Dec 1, 2016 – Aug 21, 2017

Keith Klein is no longer listed on the Aug 21, 2017 amendment — Unity Biotechnology, Inc.

Keith Klein appears on the Dec 1, 2016 Form D (executive officer) but not on the Aug 21, 2017 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D · Dec 1, 2016 ↗Form D/A · Aug 21, 2017 ↗Keith Klein — PartnerFacts page ↗Unity Biotechnology, Inc. — PartnerFacts page ↗

Sources

Form D · Dec 1, 2016 ↗ (Dec 1, 2016)
Form D/A · Aug 21, 2017 ↗ (Aug 21, 2017)
Keith Klein — PartnerFacts page ↗
Unity Biotechnology, Inc. — PartnerFacts page ↗ (Mar 27, 2018)

Note · Dec 1, 2016 – Aug 21, 2017

Offering amount changed between filings — Unity Biotechnology, Inc.

The Dec 1, 2016 filing says $128,278,051 offered; the Aug 21, 2017 Form D/A says $177,598,051.

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) · Dec 1, 2016 ↗Form D/A (later) · Aug 21, 2017 ↗Unity Biotechnology, Inc. — PartnerFacts page ↗

Sources

Form D (earlier) · Dec 1, 2016 ↗ (Dec 1, 2016)
Form D/A (later) · Aug 21, 2017 ↗ (Aug 21, 2017)
Unity Biotechnology, Inc. — PartnerFacts page ↗ (Mar 27, 2018)

Note · Jul 1, 2010 – Jul 1, 2011

Reported revenue range changed between filings — ClickN KIDS INC.

"$1 - $1,000,000" (Jul 1, 2010); then "$1,000,001 - $5,000,000" (Jul 1, 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 · Jul 1, 2010 ↗Form D · Jul 1, 2011 ↗ClickN KIDS INC. — PartnerFacts page ↗

Sources

Form D · Jul 1, 2010 ↗ (Jul 1, 2010)
Form D · Jul 1, 2011 ↗ (Jul 1, 2011)
ClickN KIDS INC. — PartnerFacts page ↗ (Jul 7, 2014)

Note · Jan 13, 2012

Same name, different state: "Keith Klein" (IL) is a separate record

This page covers filings where the address state is CA. A separate record, "Keith Klein" with address state IL, is listed on 1 filing — most recently by Snazzy Corp (Jan 13, 2012). Both records have filings in the same period (Jan 13, 2012).

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.

Keith Klein (IL) — PartnerFacts page ↗Form D · Jan 13, 2012 ↗Snazzy Corp — PartnerFacts page ↗Keith Klein (CA) — this page ↗

Sources

Keith Klein (IL) — PartnerFacts page ↗ (Jan 13, 2012)
Form D · Jan 13, 2012 ↗ (Jan 13, 2012)
Snazzy Corp — PartnerFacts page ↗ (Jan 13, 2012)
Keith Klein (CA) — this page ↗ (Dec 1, 2016)

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

1 of 7 offerings reports sales commissions totalling $1,012,000; 6 report finder's fees totalling $1,754,739; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Dec 1, 2016 D Unity Biotechnology, Inc. File 021-275461	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 3, 2013 D ClickN KIDS INC. File 021-199005	$0	$600,000 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jul 9, 2012 D ClickN KIDS INC. File 021-180885	$0	$600,000 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Sep 15, 2011 D KYTHERA BIOPHARMACEUTICALS INC File 021-165882	$1,012,000	$4,739	$0	Leerink Swann LLC BrokerCheck CRD 39011 ↗	EDGAR ↗
Jul 1, 2011 D ClickN KIDS INC. File 021-162180	$0	$300,000 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Oct 4, 2010 D ClickN KIDS INC. File 021-148471	$0	$200,000 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗
Jul 1, 2010 D ClickN KIDS INC. File 021-144295	$0	$50,000 (est.)	$0 (est.)	None listed on this filing	EDGAR ↗

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 3

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

Biotechnology

Unity Biotechnology, Inc.

Brisbane, CA · Dec 1, 2016

Dec 1, 2016 · D · $108,320,117 sold of $128,278,051 · 26 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $151.2M from 38 investors (100% of the $128.3M target) as of the latest filing. Keith 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.

Other Technology

ClickN KIDS INC.

Agoura Hills, CA · Jul 1, 2010 → Jul 3, 2013 · 5 filings

Jul 3, 2013 · D · $0 sold of $4,000,000 · 0 investors · min. $22,500 · role: Director EDGAR ↗
Jul 9, 2012 · D · $0 sold of $4,000,000 · 0 investors · min. $20,000 · role: Director EDGAR ↗
Jul 1, 2011 · D · $0 sold of $4,000,000 · 0 investors · min. $20,000 · role: Director EDGAR ↗
Oct 4, 2010 · D · $0 sold of $4,000,000 · 0 investors · min. $10,000 · role: Director EDGAR ↗
Jul 1, 2010 · D · $0 sold of $2,000,000 · 0 investors · min. $1,000 · role: Director EDGAR ↗

Raised $212K from 9 investors (5% of the $4M target) as of the latest filing. Keith 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.

Pharmaceuticals

KYTHERA BIOPHARMACEUTICALS INC

Calabasas, CA · Sep 15, 2011

Sep 15, 2011 · D · $37,424,989 sold of $52,424,997 · 20 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $37.4M from 20 investors (71% of the $52.4M target) as of the latest filing. Keith 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.

Other pages with the same name (1)

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

Keith Klein — IL, 1 issuer, Jan 13, 2012 → Jan 13, 2012 · no shared issuer

People around Keith 20

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

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

Person

Alan Ray Scalone

Director · 5 shared filings (1 issuer)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

David Koenig

Executive Officer · 5 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Norman Carabet

Director · 5 shared filings (1 issuer)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Armie Carabet

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

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Keith Leonard

Executive Officer, Director · 2 shared filings (2 issuers) · also on 3 other issuers

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

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

Person

Nathaniel David

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

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Camille Samuels

Director · 2 shared filings (2 issuers) · also on 9 other issuers

Camille Samuels is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Armyn Carabet

Executive Officer, Director · 2 shared filings (1 issuer)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Norrie Daroga

Director · 2 shared filings (1 issuer)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Robert Nelsen

Director · 2 shared filings (2 issuers) · also on 37 other issuers

Robert Nelsen is on 39 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

John Smither

Executive Officer · 2 shared filings (2 issuers)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

David Schnell

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

David Schnell is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Joseph L. Turner

Director · 1 shared filing (1 issuer) · also on 5 other issuers

Joseph L. Turner is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Kristina Burow

Director · 1 shared filing (1 issuer) · also on 31 other issuers

Kristina Burow is on 32 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Dennis Fenton

Director · 1 shared filing (1 issuer) · also on 5 other issuers

Dennis Fenton is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Patricia Walker

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Francois Kress

Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Jamie Dananberg

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Dan Marquess

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Keith Klein. Their page shows their other deals.

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

Person

Hironori Hozoji

Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Keith Klein. Their page shows their other deals.

The team behind the deals

Same business address

1 other issuer file from the same address

M83 Income Fund, LLC Calabasas, CA · 2024

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

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 3 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 Keith Klein 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 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Keith Klein is listed on: none on file. No website or social profile named in Unity Biotechnology, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #256,412 of 374,652 in line (1,386 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 (Brisbane, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

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Keith Klein

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Keith Klein appears on 1 deal that stopped filing before reaching its target

Form D filed 48 days after the first sale — Unity Biotechnology, Inc.

Form D filed 16 days after the first sale — KYTHERA BIOPHARMACEUTICALS INC

No amendment in the last 12 months on an offering that may still be open — KYTHERA BIOPHARMACEUTICALS INC (latest filing Sep 15, 2011)

Keith Klein is no longer listed on the Aug 21, 2017 amendment — Unity Biotechnology, Inc.

Offering amount changed between filings — Unity Biotechnology, Inc.

Reported revenue range changed between filings — ClickN KIDS INC.

Same name, different state: "Keith Klein" (IL) is a separate record

5. Money to insiders

Deals 3

People around Keith 20

The team behind the deals

1 other issuer file from the same address

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person