Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:30 AM ET

Sponsor Check › Person

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

Kenneth Carter

Named as an officer, director or promoter on SEC Form D filings · MD, TX · Oct 27, 2009 → Jan 28, 2020

8deals (issuers)

$46.8Mreported sold

128investors

17Form D filings

2009–2020years 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, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Kenneth Carter is listed as an executive officer and director on 17 SEC Form D filings by 8 issuers between Nov 2008 and Jul 2021. Largest by amount reported sold: NexImmune, Inc. (Gaithersburg, MD — biotechnology — 2012–2015; $21.7M reported sold to 69 investors), PALISADE BIO, INC. (Carlsbad, CA — biotechnology — 2020; $20M reported sold to 15 investors), Beta Cat Pharmaceuticals, Inc. (Houston, TX — pharmaceuticals — 2014–2018; $2.6M reported sold to 17 investors), NEODIAGNOSTIX INC (Rockville, MD — biotechnology — 2009; $1.51M reported sold to 13 investors), Antidote Therapeutics, Inc. (Gaithersburg, MD — biotechnology — 2017; $432K reported sold to 2 investors) and 3 more (all listed below).

What this means A repeat sponsor — 8 separate companies raised money with this person listed as executive officer and director, over about 13 years. Across those companies the filings report $46.8M sold in total.

Listed alongside Alain Cappeluti (7 shared filings), Jonathan Schneck (5 shared filings), Jonathan P. Northrup (4 shared filings), Sunil Sharma (3 shared filings), Bradley G. Lorimier (2 shared filings) and 29 others.

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

The issuers belong to 2 sponsor groups: Noble (2 issuers, $1.08M reported sold, 2012–2014) and Beta Cat Pharmaceuticals (2 issuers, $2.88M reported sold, 2011–2018).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

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) — 29 bankruptcy cases matching the name listed in Key records below.

What this means 29 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 17 public filings for Kenneth Carter and found 13 differences, 1 worth asking the sponsor about: 7 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.

What the community is saying

Community search for Kenneth Carter has not run yet — it is joining a line of 34,549 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 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

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:17 AM ET.

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 (index scan as of Oct 24, 2026, 2:50 AM ET) · 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 and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Kenneth Carter..

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

29 cases: 29 closed (disposition not in docket feed)

Kenneth Carter and Trista Carter closed

United States Bankruptcy Court, E.D. California · No. 19-14744 · Filed Nov 12, 2019 · Closed Aug 11, 2022

Role of Kenneth Carter and Trista Carter: Debtor · Outcome: Case closed 2022-08-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth Carter closed

United States Bankruptcy Court, E.D. California · No. 19-12869 · Filed Jul 2, 2019 · Closed Feb 12, 2020

Role of Kenneth Carter: Debtor · Outcome: Case closed 2020-02-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth Carter closed

United States Bankruptcy Court, E.D. California · No. 18-11496 · Filed Apr 16, 2018 · Closed Aug 17, 2018

Role of Kenneth Carter: Debtor · Outcome: Case closed 2018-08-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth Carter closed

United States Bankruptcy Court, E.D. California · No. 17-14469 · Filed Nov 21, 2017 · Closed Mar 23, 2018

Role of Kenneth Carter: Debtor · Outcome: Case closed 2018-03-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth Carter closed

United States Bankruptcy Court, D. Maryland · No. 16-25209 · Filed Nov 16, 2016 · Closed Mar 3, 2017

Role of Kenneth Carter: Debtor · Outcome: Case closed 2017-03-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (MD)

Kenneth J. Carter and Anita I. Carter closed

United States Bankruptcy Court, S.D. California · No. 13-08539 · Filed Aug 27, 2013 · Closed Dec 2, 2013

Role of Kenneth J. Carter and Anita I. Carter: Debtor · Outcome: Case closed 2013-12-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth E. Carter, Jr. closed

United States Bankruptcy Court, D. Maryland · No. 11-14655 · Filed Mar 8, 2011 · Closed Apr 24, 2012

Role of Kenneth E. Carter, Jr.: Debtor · Outcome: Case closed 2012-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (MD)

Kenneth Carter and Renee Antoinette Carter closed

United States Bankruptcy Court, C.D. California · No. 2:11-bk-19380 · Filed Mar 4, 2011 · Closed Dec 6, 2016

Role of Kenneth Carter and Renee Antoinette Carter: Debtor · Outcome: Case closed 2016-12-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth E. Carter closed

United States Bankruptcy Court, D. Maryland · No. 10-17309 · Filed Apr 4, 2010 · Closed Sep 2, 2011

Role of Kenneth E. Carter: Debtor · Outcome: Case closed 2011-09-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (MD)

Kenneth E. Carter closed

United States Bankruptcy Court, N.D. Texas · No. 09-42849 · Filed May 14, 2009 · Closed Aug 19, 2009

Role of Kenneth E. Carter: Debtor · Outcome: Case closed 2009-08-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth Carter closed

United States Bankruptcy Court, E.D. California · No. 07-21091 · Filed Feb 20, 2007 · Closed Jun 14, 2007

Role of Kenneth Carter: Debtor · Outcome: Case closed 2007-06-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth Carter and Alanda Alfred Carter closed

United States Bankruptcy Court, S.D. Texas · No. 07-30997 · Filed Feb 6, 2007 · Closed May 15, 2007

Role of Kenneth Carter and Alanda Alfred Carter: Debtor · Outcome: Case closed 2007-05-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kindra Caroline Carter and Kenneth Carter closed

United States Bankruptcy Court, C.D. California · No. 6:05-bk-25877 · Filed Oct 14, 2005 · Closed Mar 9, 2006

Role of Kenneth Carter: Debtor · Outcome: Case closed 2006-03-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth B. Carter closed

United States Bankruptcy Court, N.D. Texas · No. 05-81809 · Filed Oct 2, 2005 · Closed Nov 15, 2010

Role of Kenneth B. Carter: Debtor · Outcome: Case closed 2010-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth H. Carter and Geraldine Carter closed

United States Bankruptcy Court, N.D. Texas · No. 03-82562 · Filed Dec 4, 2003 · Closed Apr 1, 2004

Role of Kenneth H. Carter and Geraldine Carter: Debtor · Outcome: Case closed 2004-04-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth W Carter and Kimberly D Carter closed

United States Bankruptcy Court, S.D. Texas · No. 03-46072 · Filed Nov 7, 2003 · Closed Apr 4, 2005

Role of Kenneth W Carter and Kimberly D Carter: Debtor · Outcome: Case closed 2005-04-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth J. Carter and Rena A. Yates closed

United States Bankruptcy Court, D. Maryland · No. 03-16266 · Filed Jun 5, 2003 · Closed Sep 12, 2003

Role of Kenneth J. Carter and Rena A. Yates: Debtor · Outcome: Case closed 2003-09-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (MD)

Kenneth W Carter and Kimberly D Carter closed

United States Bankruptcy Court, S.D. Texas · No. 03-36337 · Filed May 2, 2003 · Closed Apr 19, 2004

Role of Kenneth W Carter and Kimberly D Carter: Debtor · Outcome: Case closed 2004-04-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth A. Carter closed

United States Bankruptcy Court, N.D. California · No. 03-40630 · Filed Feb 3, 2003 · Closed May 27, 2003

Role of Kenneth A. Carter: Debtor · Outcome: Case closed 2003-05-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth B Carter and Donna R Carter closed

United States Bankruptcy Court, C.D. California · No. 6:99-bk-18426 · Filed May 14, 1999 · Closed Aug 31, 1999

Role of Kenneth B Carter and Donna R Carter: Debtor · Outcome: Case closed 1999-08-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth A. Carter and Linda Ruth Carter closed

United States Bankruptcy Court, D. Maryland · No. 98-51180 · Filed Jan 28, 1998 · Closed May 7, 1998

Role of Kenneth A. Carter and Linda Ruth Carter: Debtor · Outcome: Case closed 1998-05-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (MD)

Kenneth E. Carter closed

United States Bankruptcy Court, D. Maryland · No. 97-18403 · Filed Jul 31, 1997 · Closed Nov 18, 1997

Role of Kenneth E. Carter: Debtor · Outcome: Case closed 1997-11-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (MD)

Kenneth R. Carter and Debra J. Carter closed

United States Bankruptcy Court, E.D. Texas · No. 97-90501 · Filed Mar 24, 1997 · Closed Aug 12, 2002

Role of Kenneth R. Carter and Debra J. Carter: Debtor · Outcome: Case closed 2002-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth S. Carter, Sr. closed

United States Bankruptcy Court, N.D. California · No. 95-34504 · Filed Dec 1, 1995 · Closed Jan 11, 2000

Role of Kenneth S. Carter, Sr.: Debtor · Outcome: Case closed 2000-01-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth Carter and Lori Woods Carter closed

United States Bankruptcy Court, S.D. Texas · No. 94-46747 · Filed Oct 3, 1994 · Closed Sep 7, 1995

Role of Kenneth Carter and Lori Woods Carter: Debtor · Outcome: Case closed 1995-09-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth W Carter closed

United States Bankruptcy Court, S.D. Texas · No. 94-44281 · Filed Jun 22, 1994 · Closed Dec 18, 1996

Role of Kenneth W Carter: Debtor · Outcome: Case closed 1996-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)

Kenneth Carter and Gail Carter closed

United States Bankruptcy Court, C.D. California · No. 1:93-bk-20089 · Filed Mar 23, 1993 · Closed Aug 11, 1993

Role of Kenneth Carter and Gail Carter: Debtor · Outcome: Case closed 1993-08-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth L. Carter and Sandra K. Carter closed

United States Bankruptcy Court, N.D. California · No. 93-41678 · Filed Mar 10, 1993 · Closed Mar 18, 1997

Role of Kenneth L. Carter and Sandra K. Carter: Debtor · Outcome: Case closed 1997-03-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (CA)

Kenneth R. Carter closed

United States Bankruptcy Court, D. Maryland · No. 86-43002 · Filed Dec 5, 1986 · Closed Mar 3, 1988

Role of Kenneth R. Carter: Debtor · Outcome: Case closed 1988-03-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 403 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (MD)

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, 2:17 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

13 differences found between the filings for Kenneth Carter — 1 worth asking about (compared 17 filings on Oct 24, 2026)

Note · Jun 18, 2021 – Dec 8, 2025

6 bankruptcy cases name the subject or team members

Bankruptcy case: Noble Life Sciences, Inc. v. Hunter Caroline Holdings — filed Dec 8, 2025 · Bankruptcy case: Noble Life Sciences, Inc. v. Jaffe Capital — filed Dec 8, 2025 · Bankruptcy case: Noble Life Sciences, Inc. v. Jaffe Capital — filed Dec 4, 2025 · Bankruptcy case: Noble Life Sciences, Inc. v. EBF Holdings, LLC — filed Dec 4, 2025 · Bankruptcy case: Noble Life Sciences, Inc. — filed Jun 22, 2025 · and 1 more

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, D. Maryland ↗Noble Life Sciences, Inc. — PartnerFacts page ↗Docket · United States Bankruptcy Court, D. Maryland ↗Docket · United States Bankruptcy Court, D. Maryland ↗

Sources

Docket · United States Bankruptcy Court, D. Maryland ↗ (Dec 8, 2025)
Noble Life Sciences, Inc. — PartnerFacts page ↗ (Apr 10, 2012)
Docket · United States Bankruptcy Court, D. Maryland ↗ (Dec 8, 2025)
Docket · United States Bankruptcy Court, D. Maryland ↗ (Dec 4, 2025)
Docket · United States Bankruptcy Court, D. Maryland ↗ (Dec 4, 2025)
Docket · United States Bankruptcy Court, D. Maryland ↗ (Jun 22, 2025)
Docket · United States Bankruptcy Court, S.D. Texas ↗ (Jun 18, 2021)
Rahul Aras — PartnerFacts page ↗

Note · Jun 27, 2018

Kenneth Carter appears on 1 deal that stopped filing before reaching its target

Beta Cat Pharmaceuticals, Inc. (last filing Jun 27, 2018; $2,600,000 sold of $6,000,000). 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.

Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗

Sources

Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗ (Jun 27, 2018)

Worth asking · Mar 5, 2009 – Dec 18, 2017

7 Form Ds were filed more than 15 days after the first sale

Form D filed 511 days after the first sale — Beta Cat Pharmaceuticals, Inc. · Form D filed 97 days after the first sale — Antidote Therapeutics, Inc. · Form D filed 483 days after the first sale — Noble Life Sciences, Inc. · Form D filed 80 days after the first sale — NexImmune, Inc. · Form D filed 241 days after the first sale — NexImmune, Inc. · and 2 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Dec 18, 2017 ↗Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗Form D · Sep 11, 2017 ↗Antidote Therapeutics, Inc. — PartnerFacts page ↗

Sources

Form D · Dec 18, 2017 ↗ (Dec 18, 2017)
Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗ (Jun 27, 2018)
Form D · Sep 11, 2017 ↗ (Sep 11, 2017)
Antidote Therapeutics, Inc. — PartnerFacts page ↗ (Sep 11, 2017)
Form D · Apr 10, 2012 ↗ (Apr 10, 2012)
Noble Life Sciences, Inc. — PartnerFacts page ↗ (Apr 10, 2012)
Form D · Feb 3, 2012 ↗ (Feb 3, 2012)
NexImmune, Inc. — PartnerFacts page ↗ (Feb 22, 2019)

Note · Jun 12, 2018 – Jun 27, 2018

No amendment in the last 12 months on an offering that may still be open — Beta Cat Pharmaceuticals, Inc. (latest filing Jun 27, 2018)

The latest filing for this offering is dated Jun 27, 2018 (first sale Jun 12, 2018). It reports $2,600,000 sold of $6,000,000 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 · Jun 27, 2018 ↗Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗

Sources

Form D · Jun 27, 2018 ↗ (Jun 27, 2018)
Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗ (Jun 27, 2018)

Note · Jun 18, 2015 – Jul 2, 2015

No amendment in the last 12 months on an offering that may still be open — Beta Cat Pharmaceuticals, Inc. (latest filing Jul 2, 2015)

The latest filing for this offering is dated Jul 2, 2015 (first sale Jun 18, 2015). It reports $1,039,561 sold of $3,035,583 offered. No later amendment is in our index as of Oct 24, 2026.

Form D · Jul 2, 2015 ↗Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗

Sources

Form D · Jul 2, 2015 ↗ (Jul 2, 2015)
Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗ (Jun 27, 2018)

Note · Dec 23, 2013 – Dec 27, 2013

No amendment in the last 12 months on an offering that may still be open — NexImmune, Inc. (latest filing Dec 27, 2013)

The latest filing for this offering is dated Dec 27, 2013 (first sale Dec 23, 2013). It reports $250,000 sold of $2,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

Form D · Dec 27, 2013 ↗NexImmune, Inc. — PartnerFacts page ↗

Sources

Form D · Dec 27, 2013 ↗ (Dec 27, 2013)
NexImmune, Inc. — PartnerFacts page ↗ (Feb 22, 2019)

Note · Nov 7, 2008 – Oct 27, 2009

Kenneth Carter is written 2 different ways on the filings

listed as "Kenneth C. Carter" on 6 filings (from Nov 7, 2008), and "Kenneth Carter" on 11 filings (from Oct 27, 2009).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Nov 7, 2008 ↗Form D · Oct 27, 2009 ↗Kenneth Carter — PartnerFacts page ↗

Sources

Note · Jul 8, 2014 – Dec 18, 2017

Industry group changed between filings — Beta Cat Pharmaceuticals, Inc.

"Biotechnology" (Jul 8, 2014 to Jul 2, 2015); then "Pharmaceuticals" (Dec 18, 2017 to Jun 27, 2018).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Jul 8, 2014 ↗Form D · Dec 18, 2017 ↗Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗

Sources

Form D · Jul 8, 2014 ↗ (Jul 8, 2014)
Form D · Dec 18, 2017 ↗ (Dec 18, 2017)
Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗ (Jun 27, 2018)

Note · Jul 8, 2014 – Jun 27, 2018

Reported revenue range changed between filings — Beta Cat Pharmaceuticals, Inc.

"Decline to Disclose" (Jul 8, 2014); then "No Revenues" (Dec 18, 2017); then "Decline to Disclose" (Jun 27, 2018).

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 8, 2014 ↗Form D · Dec 18, 2017 ↗Form D · Jun 27, 2018 ↗Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗

Sources

Form D · Jul 8, 2014 ↗ (Jul 8, 2014)
Form D · Dec 18, 2017 ↗ (Dec 18, 2017)
Form D · Jun 27, 2018 ↗ (Jun 27, 2018)
Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗ (Jun 27, 2018)

Note · Apr 20, 2021

Same name, different state: "Kenneth Carter" (CA) is a separate record

This page covers filings where the address state is MD or TX. A separate record, "Kenneth Carter" with address state CA, is listed on 1 filing — most recently by Bitmovin, Inc. (Apr 20, 2021). The two records do not overlap in time: this page runs Oct 27, 2009 to Jan 28, 2020; the other has one filing dated Apr 20, 2021.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Kenneth Carter (CA) — PartnerFacts page ↗Form D · Apr 20, 2021 ↗Bitmovin, Inc. — PartnerFacts page ↗Kenneth Carter (MD,TX) — this page ↗

Sources

Kenneth Carter (CA) — PartnerFacts page ↗ (Apr 20, 2021)
Form D · Apr 20, 2021 ↗ (Apr 20, 2021)
Bitmovin, Inc. — PartnerFacts page ↗ (Oct 30, 2024)
Kenneth Carter (MD,TX) — this page ↗ (Jan 28, 2020)

Note · Dec 29, 2015 – May 29, 2019

Same name, different state: "Kenneth Martin Carter" (A1) is a separate record

This page covers filings where the address state is MD or TX. A separate record, "Kenneth Martin Carter" with address state A1, is listed on 3 filings — most recently by Cambria Gold Mines Inc. (May 29, 2019). Both records have filings in the same period (Dec 29, 2015 to May 29, 2019).

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.

Kenneth Martin Carter (A1) — PartnerFacts page ↗Form D · May 29, 2019 ↗Cambria Gold Mines Inc. — PartnerFacts page ↗Kenneth Carter (MD,TX) — this page ↗

Sources

Kenneth Martin Carter (A1) — PartnerFacts page ↗ (May 29, 2019)
Form D · May 29, 2019 ↗ (May 29, 2019)
Cambria Gold Mines Inc. — PartnerFacts page ↗ (Mar 24, 2026)
Kenneth Carter (MD,TX) — this page ↗ (Jan 28, 2020)

Note · Jul 8, 2014 – Jul 2, 2015

Address moved from Gaithersburg, MD to Houston, TX — Beta Cat Pharmaceuticals, Inc.

The people listed on the Jul 8, 2014 filing give Gaithersburg, MD; on the Jul 2, 2015 filing they give Houston, TX. The address now on file (2450 West Holcombe Blvd, Houston, TX) is a registered-agent or shared-office address used by 25 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Jul 8, 2014 ↗Form D · Jul 2, 2015 ↗Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗

Sources

Form D · Jul 8, 2014 ↗ (Jul 8, 2014)
Form D · Jul 2, 2015 ↗ (Jul 2, 2015)
Beta Cat Pharmaceuticals, Inc. — PartnerFacts page ↗ (Jun 27, 2018)

Note · Nov 7, 2008 – Jul 15, 2021

Kenneth Carter is listed with 2 different address states: MD, TX

MD on 14 filings (Nov 7, 2008 to Jul 15, 2021); TX on 3 filings (Jul 2, 2015 to Jun 27, 2018).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Nov 7, 2008 ↗Form D · Jul 2, 2015 ↗

Sources

Form D · Nov 7, 2008 ↗ (Nov 7, 2008)
Form D · Jul 2, 2015 ↗ (Jul 2, 2015)

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 17 offerings reports sales commissions totalling $604,444; 0 report finder's fees; 1 reports proceeds to related persons totalling $125,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jul 15, 2021 D NeuImmune, Inc. File 021-406464	$0	$0	$0	None listed on this filing	EDGAR ↗
May 12, 2021 D NeuImmune, Inc. File 021-399097	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 28, 2020 D PALISADE BIO, INC. File 021-359133	$604,444	$0	$0	H.C. Wainwright & Co. LLC BrokerCheck CRD 375 ↗	EDGAR ↗
Jun 27, 2018 D Beta Cat Pharmaceuticals, Inc. File 021-315497	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 18, 2017 D Beta Cat Pharmaceuticals, Inc. File 021-301052	$0	$0	$125,000 (est.)	N/A no CRD number reported	EDGAR ↗
Sep 11, 2017 D Antidote Therapeutics, Inc. File 021-294374	$0	$0	$0	None listed on this filing	EDGAR ↗
Sep 5, 2017 D Antidote Therapeutics, Inc. File 021-294019	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 2, 2015 D Beta Cat Pharmaceuticals, Inc. File 021-243016	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 13, 2015 D NexImmune, Inc. File 021-234073	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 25, 2014 D NexImmune, Inc. File 021-221750	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 8, 2014 D Beta Cat Pharmaceuticals, Inc. File 021-220563	$0	$0	$0	None listed on this filing	EDGAR ↗
Dec 27, 2013 D NexImmune, Inc. File 021-208856	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 10, 2012 D Noble Life Sciences, Inc. File 021-176430	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 3, 2012 D NexImmune, Inc. File 021-172893	$0	$0	$0	None listed on this filing	EDGAR ↗
Feb 3, 2012 D NexImmune, Inc. File 021-172895	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 27, 2009 D NEODIAGNOSTIX INC File 021-102270	$0	$0	$0 Proceeds are being used for working capital.	None listed on this filing	EDGAR ↗
Nov 7, 2008 D AVALON PHARMACEUTICALS INC File 021-87613	$0	$0	$0	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 8

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

Biotechnology

NeuImmune, Inc.

Sykesville, MD · May 12, 2021 → Jul 15, 2021 · 2 filings

Jul 15, 2021 · D · $20,000 sold of $20,000 · 1 investors · min. $20,000 · role: Director EDGAR ↗
May 12, 2021 · D · $105,000 sold of $105,000 · 6 investors · min. $5,000 · role: Director EDGAR ↗

Raised $105K from 6 investors (100% of the $20K target) as of the latest filing. Kenneth is listed as director on 2 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. "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.

Biotechnology

PALISADE BIO, INC.

Carlsbad, CA · Jan 28, 2020

Jan 28, 2020 · D · $7,555,553 sold of $7,555,553 · 3 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $20M from 15 investors (100% of the $7.56M target) as of the latest filing. Kenneth is listed as executive officer, director.

Latest filing on EDGAR ↗

Sources

Pharmaceuticals · group: Beta Cat Pharmaceuticals

Beta Cat Pharmaceuticals, Inc.

Houston, TX · Jul 8, 2014 → Jun 27, 2018 · 4 filings

Jun 27, 2018 · D · $2,600,000 sold of $6,000,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
Dec 18, 2017 · D · $1,404,918 sold of $1,404,918 · 17 investors · min. $25,000 · role: Director EDGAR ↗
Jul 2, 2015 · D · $1,039,561 sold of $3,035,583 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
Jul 8, 2014 · D · $500,000 sold of $500,000 · 1 investors · min. $500,000 · role: Director EDGAR ↗

Raised $2.6M from 17 investors (43% of the $6M target) as of the latest filing. Kenneth is listed as director on 4 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pharmaceuticals / 506(b) (800 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.

Biotechnology

Antidote Therapeutics, Inc.

Gaithersburg, MD · Sep 5, 2017 → Sep 11, 2017 · 2 filings

Sep 11, 2017 · D · $200,000 sold of $200,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
Sep 5, 2017 · D · $432,341 sold of $432,341 · 2 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $432K from 2 investors (100% of the $200K target) as of the latest filing. Kenneth is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗

Sources

Biotechnology

NexImmune, Inc.

Gaithersburg, MD · Feb 3, 2012 → Feb 13, 2015 · 5 filings

Feb 13, 2015 · D · $1,962,000 sold of $1,962,000 · 4 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
Jul 25, 2014 · D · $3,000,000 sold of $3,000,000 · 3 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
Dec 27, 2013 · D · $250,000 sold of $2,000,000 · 1 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
Feb 3, 2012 · D · $287,500 sold of $287,500 · 11 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
Feb 3, 2012 · D · $1,000 sold of $1,000 · 9 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $21.7M from 69 investors (100% of the $1.96M target) as of the latest filing. Kenneth is listed as executive officer, director on 5 filings for this deal.

Latest filing on EDGAR ↗

Sources

Biotechnology · group: Noble

Noble Life Sciences, Inc.

Gaithersburg, MD · Apr 10, 2012

Apr 10, 2012 · D · $235,000 sold of $235,000 · 5 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $235K from 5 investors (100% of the $235K target) as of the latest filing. Kenneth is listed as executive officer, director.

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.

Biotechnology

NEODIAGNOSTIX INC

Rockville, MD · Oct 27, 2009

Oct 27, 2009 · D · $1,509,997 sold of $1,509,997 · 13 investors · min. $10,000 · role: Director EDGAR ↗

Raised $1.51M from 13 investors (100% of the $1.51M target) as of the latest filing. Kenneth is listed as director.

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

AVALON PHARMACEUTICALS INC

Germantown, MD · Nov 7, 2008

Nov 7, 2008 · D · $237,338 sold of $237,338 · 1 investors · min. $237,338 · role: Executive Officer, Director EDGAR ↗

Raised $237K from 1 investor (100% of the $237K target) as of the latest filing. Kenneth is listed as executive officer, director.

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 (2)

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

Kenneth Martin Carter — British Columbia, Canada (as filed: A1), 1 issuer, Dec 29, 2015 → May 29, 2019 · no shared issuer
Kenneth Carter — CA, 1 issuer, Apr 20, 2021 → Apr 20, 2021 · no shared issuer

People around Kenneth 34

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

Alain Cappeluti

Executive Officer, Director · 7 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Jonathan Schneck

Director · 5 shared filings (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Jonathan P. Northrup

Executive Officer, Director · 4 shared filings (1 issuer) · also on 4 other issuers

Jonathan P. Northrup 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

Sunil Sharma

Executive Officer, Director · 3 shared filings (1 issuer) · also on 4 other issuers

Sunil Sharma 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

Stephen K. Horrigan

Executive Officer · 2 shared filings (2 issuers)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Bradley G. Lorimier

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

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

James Barrett

Director · 2 shared filings (1 issuer) · also on 6 other issuers

James Barrett is on 7 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

Thomas R Fuerst

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

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Janis Naeve

Director · 2 shared filings (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Joseph Cunningham

Director · 2 shared filings (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Matthew W. Kalnik, PhD

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

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

J. Michael Hamilton

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

C. Eric Winzer

Executive Officer · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

William H. Washecka

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Philip Frost

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Michael R. Kurman

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Casey Cunningham

Executive Officer · 1 shared filing (1 issuer) · also on 4 other issuers

Casey Cunningham 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

Richard Pinnola

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Gregory Endress

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Scott Ogilvie

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Mary Ann Gray

Director · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Slain Cappeluti

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

James Eadie

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

James Eadie 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

Sandford Smith

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Scott Andrew Jordan

Executive Officer, Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Rahul Aras

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Uma Bhatt

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

David Mazzo

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Mark D Hankins

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Binxian Wei

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Cristina Csimma

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

David S. Kabakoff

Director · 1 shared filing (1 issuer)

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

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

Person

Joe Cunningham

Director · 1 shared filing (1 issuer) · also on 11 other issuers

Joe Cunningham is on 12 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

William Gust

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

Listed on the same filings as Kenneth Carter. Their page shows their other deals.

The team behind the deals

Sponsor group

Noble

2 issuers · 2 filings · $1.08M reported sold · 2012–2014

C ConverGene LLC Biotechnology · $850K sold · 2014
NL Noble Life Sciences, Inc. Biotechnology · $235K sold · 2012 · listed

One team, 2 deal companies. Kenneth Carter is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Kenneth Carter.

Sponsor group

Beta Cat Pharmaceuticals

2 issuers · 5 filings · $2.88M reported sold · 2011–2018

BC Beta Cat Pharmaceuticals, Inc. Pharmaceuticals · $2.6M sold · 2014 · listed
BC Beta Cat Pharmaceuticals, LLC Biotechnology · $275K sold · 2011

One team, 2 deal companies. Kenneth Carter is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Kenneth Carter.

Same business address

27 other issuers file from the same address

TYBR Health, Inc. Houston, TX · 2020
Baylor Genetics Holdings, Inc. Houston, TX · 2026
VenoStent, Inc. Houston, TX · 2018
Starling Medical, Inc. Houston, TX · 2024
Immunomet Therapeutics, Inc. Houston, TX · 2026
ReEngage Therapeutics, Inc. Houston, TX · 2024
PATH EX, Inc. Houston, TX · 2017
Prana Thoracic, Inc. Houston, TX · 2022
CrossBridge Bio, Inc. Houston, TX · 2024
7 Hills Pharma Inc. Houston, TX · 2024
GlycosBio Inc. Houston, TX · 2009
BAIRITONE HEALTH INC Houston, TX · 2022
Vivante Health, Inc. Houston, TX · 2022
Stream Biomedical, Inc. Houston, TX · 2022
Caridian Medical, Inc. Houston, TX · 2021
Resonant Therapeutics, Inc. Houston, TX · 2015
Vivante Health, Inc. Houston, TX · 2020
Saranas Inc. Houston, TX · 2015
Tvardi Therapeutics, Inc. Houston, TX · 2018
ALLOTROPE MEDICAL INC. Houston, TX · 2021
Instapath Inc. Houston, TX · 2019
Xione Therapeutics, Inc. Houston, TX · 2019
Seremedi Inc. Houston, TX · 2017
MAXCYTE, INC. Gaithersburg, MD · 2009
Vyripharm Enterprises, L.L.C. Houston, TX · 2016
Plasmonix, Inc. Gaithersburg, MD · 2011
ConverGene LLC Gaithersburg, MD · 2014

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 8 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 Kenneth Carter 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 8 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Kenneth Carter is listed on: none on file. No website or social profile named in PALISADE BIO, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #99,356 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 (Carlsbad, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when Kenneth Carter appears on a new Form D, or when a court case or SEC action is matched to them. See plans →

Kenneth Carter

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

6 bankruptcy cases name the subject or team members

Kenneth Carter appears on 1 deal that stopped filing before reaching its target

7 Form Ds were filed more than 15 days after the first sale

No amendment in the last 12 months on an offering that may still be open — Beta Cat Pharmaceuticals, Inc. (latest filing Jun 27, 2018)

No amendment in the last 12 months on an offering that may still be open — Beta Cat Pharmaceuticals, Inc. (latest filing Jul 2, 2015)

No amendment in the last 12 months on an offering that may still be open — NexImmune, Inc. (latest filing Dec 27, 2013)

Kenneth Carter is written 2 different ways on the filings

Industry group changed between filings — Beta Cat Pharmaceuticals, Inc.

Reported revenue range changed between filings — Beta Cat Pharmaceuticals, Inc.

Same name, different state: "Kenneth Carter" (CA) is a separate record

Same name, different state: "Kenneth Martin Carter" (A1) is a separate record

Address moved from Gaithersburg, MD to Houston, TX — Beta Cat Pharmaceuticals, Inc.

Kenneth Carter is listed with 2 different address states: MD, TX

5. Money to insiders

Deals 8

People around Kenneth 34

The team behind the deals

27 other issuers 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