KEN GOLDBERG is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Sep 2009 and Dec 2009: PENDULUM FUND I, L.P. (Seattle, WA — pooled investment fund — 2009; $1.15M reported sold to 8 investors).
What this means One deal on file with the SEC, filed Dec 2009. 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 APRYL WALDMAN (2 shared filings), ERIK HUBER (2 shared filings) and Six Thirteen Capital Management, LLC (1 shared filing, management entity).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around KEN. Each name links to their own page.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 1 bankruptcy case matching the name listed in Key records below.
What this means 1 record 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 2 public filings for KEN GOLDBERG and found 3 differences: No amendment in the last 12 months on an offering that may still be open; Industry group changed between filings; 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.