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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:26 AM ET

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Kenneth Lubbock

Named as an officer, director or promoter on SEC Form D filings · Cayman Islands (as filed: E9), NY · Jul 27, 2009 → Jun 23, 2022

7deals (issuers)
$1.4Breported sold
277investors
15Form D filings
2009–2022years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Kenneth Lubbock is listed as an executive officer and director on 15 SEC Form D filings by 7 issuers between Jul 2009 and Jun 2026. Largest by amount reported sold: Janus Henderson Biotech Innovation Fund Ltd (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2026; $441.2M reported sold to 81 investors), Janus Henderson Biotech Innovation Fund II Ltd (Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2025; $402M reported sold to 4 investors), AlphaGen RhoCas Fund Ltd (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2011–2012; $341.3M reported sold to 25 investors), ALPHAGEN OCTANIS FUND LTD (George Town, Grand Cayman, Cayman Islands (as filed: E9) — pooled investment fund — 2009–2012; $127.5M reported sold to 115 investors), Montrose Partners LP (New York, NY — pooled investment fund — 2016–2022; $57.9M reported sold to 47 investors) and 2 more (all listed below).

What this means A repeat sponsor — 7 separate companies raised money with this person listed as executive officer and director, over about 17 years. Across those companies the filings report $1.4B sold in total.

Listed alongside Robert Bovet (9 shared filings), Hugh Ward (6 shared filings), Les Aitkenhead (5 shared filings), Neil Honebon (5 shared filings), Juerg Schaeppi (4 shared filings) and 9 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: Alphagen (11 issuers, $985.9M reported sold, 2009–2012) and Janus Henderson (24 issuers, $1.22B reported sold, 2009–2026).

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) — none found.

What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.

We compared 15 public filings for Kenneth Lubbock and found 14 differences, 4 worth asking the sponsor about: Investor count went down between filings; Form D filed 1,684 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 Lubbock has not run yet — it is joining a line of 54,116 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

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, 2:19 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 Lubbock..

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

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

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, 2:19 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.

4. Differences between public sources

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

14 differences found between the filings for Kenneth Lubbock — 4 worth asking about (compared 15 filings on Oct 24, 2026)

Worth asking · Nov 29, 2016 – Jun 23, 2022

Investor count went down between filings — Montrose Partners LP

The Nov 29, 2016 filing reports 47 investors; the Jun 23, 2022 Form D/A reports 44 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Nov 29, 2016 ↗Form D/A (later) · Jun 23, 2022 ↗Montrose Partners LP — PartnerFacts page ↗
Sources
Worth asking · Oct 29, 2021 – Jun 9, 2026

Form D filed 1,684 days after the first sale — Janus Henderson Biotech Innovation Fund Ltd

The filing says the first sale was Oct 29, 2021. The Form D was filed Jun 9, 2026 — 1,684 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1,669 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Jun 9, 2026 ↗Janus Henderson Biotech Innovation Fund Ltd — PartnerFacts page ↗
Sources
Worth asking · Jan 1, 1993 – Nov 29, 2016

Form D filed 8,733 days after the first sale — Montrose Partners LP

The filing says the first sale was Jan 1, 1993. The Form D was filed Nov 29, 2016 — 8,733 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 8,718 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Nov 29, 2016 ↗Montrose Partners LP — PartnerFacts page ↗
Sources
Note · Mar 1, 2005 – Aug 18, 2025

4 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Janus Henderson Biotech Innovation Fund II Ltd (latest filing Aug 18, 2025) · No amendment in the last 12 months on an offering that may still be open — AlphaGen RhoCas Fund Ltd (latest filing Oct 16, 2012) · No amendment in the last 12 months on an offering that may still be open — ALPHAGEN OCTANIS FUND LTD (latest filing Oct 16, 2012) · No amendment in the last 12 months on an offering that may still be open — ALPHAGEN TUCANA FUND LTD (latest filing Oct 16, 2012)

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D/A · Aug 18, 2025 ↗Janus Henderson Biotech Innovation Fund II Ltd — PartnerFacts page ↗Form D/A · Oct 16, 2012 ↗AlphaGen RhoCas Fund Ltd — PartnerFacts page ↗
Sources
Worth asking · Jun 23, 2022 – Feb 20, 2024

Kenneth Lubbock is no longer listed on the Feb 20, 2024 amendment — Montrose Partners LP

Kenneth Lubbock appears on the Jun 23, 2022 Form D/A (executive officer) but not on the Feb 20, 2024 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/A · Jun 23, 2022 ↗Form D/A · Feb 20, 2024 ↗Kenneth Lubbock — PartnerFacts page ↗Montrose Partners LP — PartnerFacts page ↗
Sources
Note · Jul 27, 2009 – Aug 18, 2025

Kenneth Lubbock is written 2 different ways on the filings

listed as "Kenneth Lubbock" on 14 filings (from Jul 27, 2009), and "Kenneth M.B. Lubbock" on the Aug 18, 2025 filing.

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/A · Jul 27, 2009 ↗Form D/A · Aug 18, 2025 ↗Kenneth Lubbock — PartnerFacts page ↗
Sources
Note · Nov 29, 2016 – Jun 23, 2022

Industry group changed between filings — Montrose Partners LP

"Investing" (Nov 29, 2016); then "Pooled Investment Fund" (Jun 23, 2022 to Mar 26, 2025).

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 · Nov 29, 2016 ↗Form D/A · Jun 23, 2022 ↗Montrose Partners LP — PartnerFacts page ↗
Sources
Note · Jun 23, 2022 – Mar 26, 2025

Reported net asset value range changed between filings — Montrose Partners LP

"$25,000,001 - $50,000,000" (Jun 23, 2022); then "$5,000,001 - $25,000,000" (Mar 26, 2025).

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/A · Jun 23, 2022 ↗Form D/A · Mar 26, 2025 ↗Montrose Partners LP — PartnerFacts page ↗
Sources
Note · Jul 31, 2009

Formed in 2007 per the latest filing, but activity is dated 2006 — AlphaGen RhoCas Fund Ltd

The issuer's latest filing says it was formed in 2007. The Jul 31, 2009 filing says the first sale was Jan 1, 2006 — before that year.

What this means A company cannot sell before it exists, so one of the two dates is likely a typo on the form. Ask the sponsor for the formation document.

Form D/A · Jul 31, 2009 ↗AlphaGen RhoCas Fund Ltd — PartnerFacts page ↗
Sources
Note · Jul 27, 2009

Formed in 2007 per the latest filing, but activity is dated 2005 — ALPHAGEN TUCANA FUND LTD

The issuer's latest filing says it was formed in 2007. The Jul 27, 2009 filing says the first sale was May 1, 2005 — before that year.

What this means A company cannot sell before it exists, so one of the two dates is likely a typo on the form. Ask the sponsor for the formation document.

Form D/A · Jul 27, 2009 ↗ALPHAGEN TUCANA FUND LTD — PartnerFacts page ↗
Sources
Note · Aug 9, 2011 – Oct 16, 2012

Address moved from London, United Kingdom (as filed: X0) to Hitchin, Hertfordshire, United Kingdom (as filed: X0) — AlphaGen RhoCas Fund Ltd

The people listed on the Aug 9, 2011 filing give London, United Kingdom (as filed: X0); on the Oct 16, 2012 filing they give Hitchin, Hertfordshire, United Kingdom (as filed: X0). The address now on file (Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands (as filed: E9)) is a registered-agent or shared-office address used by 131 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/A · Aug 9, 2011 ↗Form D/A · Oct 16, 2012 ↗AlphaGen RhoCas Fund Ltd — PartnerFacts page ↗
Sources
Note · Aug 9, 2011 – Oct 16, 2012

Address moved from London, United Kingdom (as filed: X0) to St. Brelade, Jersey (as filed: Y9) — ALPHAGEN OCTANIS FUND LTD

The people listed on the Aug 9, 2011 filing give London, United Kingdom (as filed: X0); on the Oct 16, 2012 filing they give St. Brelade, Jersey (as filed: Y9). The address now on file (Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands (as filed: E9)) is a registered-agent or shared-office address used by 131 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/A · Aug 9, 2011 ↗Form D/A · Oct 16, 2012 ↗ALPHAGEN OCTANIS FUND LTD — PartnerFacts page ↗
Sources
Note · Aug 9, 2011 – Oct 16, 2012

Address moved from London Ec3m 4pb, United Kingdom (as filed: X0) to New York, NY — ALPHAGEN TUCANA FUND LTD

The people listed on the Aug 9, 2011 filing give London Ec3m 4pb, United Kingdom (as filed: X0); on the Oct 16, 2012 filing they give New York, NY. The address now on file (Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands (as filed: E9)) is a registered-agent or shared-office address used by 131 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/A · Aug 9, 2011 ↗Form D/A · Oct 16, 2012 ↗ALPHAGEN TUCANA FUND LTD — PartnerFacts page ↗
Sources
Note · Jul 27, 2009 – Jun 9, 2026

Kenneth Lubbock is listed with 2 different address states: NY, E9

NY on 12 filings (Jul 27, 2009 to Jun 23, 2022); Cayman Islands (as filed: E9) on 3 filings (Aug 18, 2025 to Jun 9, 2026).

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/A · Jul 27, 2009 ↗Form D/A · Aug 18, 2025 ↗
Sources
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

3 of 7 offerings report sales commissions totalling $8,500,000; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jun 9, 2026 D
Janus Henderson Biotech Innovation Fund Ltd
File 021-586706
$0$0$0None listed on this filingEDGAR ↗
Oct 17, 2025 D
Janus Henderson Equity Long/Short Fund Ltd
File 021-561319
$0$0$0None listed on this filingEDGAR ↗
Aug 18, 2025 D/A
Janus Henderson Biotech Innovation Fund II Ltd
File 021-521667
$0$0$0None listed on this filingEDGAR ↗
Jun 23, 2022 D/A
Montrose Partners LP
File 021-275242
$0$0$0
No payments go directly to the related persons. A flat management fee goes to the investment manager whose employees are related persons.
None listed on this filingEDGAR ↗
Oct 16, 2012 D/A
ALPHAGEN TUCANA FUND LTD
File 021-120203
$500,000 (est.)$0$0 (est.)Martin J. Phipps BrokerCheck CRD 5267004 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

JOHN A. EARLY III BrokerCheck CRD 2726671 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

CORINNE T. LAMBERT BrokerCheck CRD 2348439 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

Nationwide Fund Distributions LLC BrokerCheck CRD 25910 ↗
via Nationwide Fund Distributions LLC (CRD 25910 ↗)

James P. MacMillan BrokerCheck CRD 1609239 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. BrokerCheck CRD 101640 ↗
via HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. (CRD 101640 ↗)
EDGAR ↗
Oct 16, 2012 D/A
ALPHAGEN OCTANIS FUND LTD
File 021-120183
$2,000,000 (est.)$0$0John A. Early BrokerCheck CRD 2726671 ↗
via Gartmore Dirtribution Services, Inc. (CRD 143032 ↗)

Martin J. Phipps BrokerCheck CRD 5267004 ↗
via Gartmore Distribution Services, Inc. (CRD 143032 ↗)

Corinne T. Lambert BrokerCheck CRD 2348439 ↗
via Gartmore Distribution Services, Inc. (CRD 143032 ↗)

James P. MacMillan BrokerCheck CRD 1609239 ↗
via Gartmore Distribution Services, Inc. (CRD 143032 ↗)

Nationwide Fund Distributors LLC BrokerCheck CRD 25910 ↗
via Nationwide Fund Distributors LLC (CRD 25910 ↗)

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. BrokerCheck CRD 101640 ↗
via HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. (CRD 101640 ↗)
EDGAR ↗
Oct 16, 2012 D/A
AlphaGen RhoCas Fund Ltd
File 021-120537
$6,000,000 (est.)$0$0 (est.)CORINNE T. LAMBERT BrokerCheck CRD 2348439 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

MARTIN J. PHIPPS BrokerCheck CRD 5267004 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

JOHN A. EARLY III BrokerCheck CRD 2726671 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

JAMES P. MACMILLAN BrokerCheck CRD 1609239 ↗
via GARTMORE DISTRIBUTION SERVICES, INC. (CRD 143032 ↗)

NATIONWIDE FUND DISTRIBUTORS LLC BrokerCheck CRD 25910 ↗
via NATIONWIDE FUND DISTRIBUTORS LLC (CRD 25910 ↗)

HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. BrokerCheck CRD 101640 ↗
via HENDERSON GLOBAL INVESTORS EQUITY PLANNING, INC. (CRD 101640 ↗)
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 7

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

JH
Pooled Investment Fund · group: Janus Henderson

Janus Henderson Biotech Innovation Fund Ltd

Grand Cayman, Cayman Islands (as filed: E9) · Jun 9, 2026
  • Jun 9, 2026 · D · $441,173,044 sold of Indefinite · 81 investors · min. $100,000 · role: Director EDGAR ↗

Raised $441.2M from 81 investors 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 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.

JH
Pooled Investment Fund · group: Janus Henderson

Janus Henderson Equity Long/Short Fund Ltd

Grand Cayman, Cayman Islands (as filed: E9) · Oct 17, 2025
  • Oct 17, 2025 · D · $0 sold of Indefinite · 0 investors · min. $100,000 · role: Director EDGAR ↗

No sales reported yet 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 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.

JH
Pooled Investment Fund · group: Janus Henderson

Janus Henderson Biotech Innovation Fund II Ltd

Grand Cayman, Cayman Islands (as filed: E9) · Aug 18, 2025
  • Aug 18, 2025 · D/A · $402,000,000 sold of Indefinite · 4 investors · min. $100,000 · role: Director EDGAR ↗

Raised $402M from 4 investors 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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 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.

MP
Pooled Investment Fund

Montrose Partners LP

New York, NY · Nov 29, 2016 → Jun 23, 2022 · 2 filings
  • Jun 23, 2022 · D/A · $57,584,771 sold of Indefinite · 44 investors · min. $250,000 · role: Executive Officer EDGAR ↗
  • Nov 29, 2016 · D · $17,700,000 sold of Indefinite · 47 investors · min. $250,000 · role: Executive Officer EDGAR ↗

Raised $57.9M from 47 investors as of the latest filing. Kenneth is listed as executive officer 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: Pooled Investment Fund / 506(b) (83,801 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.

AT
Pooled Investment Fund · group: Alphagen

ALPHAGEN TUCANA FUND LTD

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Jul 27, 2009 → Oct 16, 2012 · 4 filings
  • Oct 16, 2012 · D/A · $28,523,573 sold of Indefinite · 5 investors · min. $50,000 · role: Director EDGAR ↗
  • Aug 9, 2011 · D/A · $28,523,573 sold of Indefinite · 5 investors · min. $50,000 · role: Director EDGAR ↗
  • Jul 27, 2010 · D/A · $28,523,573 sold of Indefinite · 5 investors · min. $50,000 · role: Director EDGAR ↗
  • Jul 27, 2009 · D/A · $1,518,573 sold of Indefinite · 2 investors · min. $50,000 · role: Director EDGAR ↗

Raised $28.5M from 5 investors 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.

AR
Pooled Investment Fund · group: Alphagen

AlphaGen RhoCas Fund Ltd

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Aug 9, 2011 → Oct 16, 2012 · 2 filings
  • Oct 16, 2012 · D/A · $341,293,316 sold of Indefinite · 25 investors · min. $100,000 · role: Director EDGAR ↗
  • Aug 9, 2011 · D/A · $199,732,411 sold of Indefinite · 16 investors · min. $100,000 · role: Director EDGAR ↗

Raised $341.3M from 25 investors 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.

AO
Pooled Investment Fund · group: Alphagen

ALPHAGEN OCTANIS FUND LTD

George Town, Grand Cayman, Cayman Islands (as filed: E9) · Jul 27, 2009 → Oct 16, 2012 · 4 filings
  • Oct 16, 2012 · D/A · $127,483,365 sold of Indefinite · 115 investors · min. $100,000 · role: Director EDGAR ↗
  • Aug 9, 2011 · D/A · $76,448,389 sold of Indefinite · 112 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2010 · D/A · $23,950,682 sold of Indefinite · 24 investors · min. $100,000 · role: Director EDGAR ↗
  • Jul 27, 2009 · D/A · $4,865,682 sold of Indefinite · 3 investors · min. $100,000 · role: Director EDGAR ↗

Raised $127.5M from 115 investors 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.

People around Kenneth 14

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

JH
Management entity

Janus Henderson Investors US LLC

Promoter · 3 shared filings (3 issuers) · also on 9 other issuers

Janus Henderson Investors US LLC is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

Robert Bovet

Director · 9 shared filings (4 issuers) · also on 74 other issuers

Robert Bovet is on 78 issuers in total — a repeat sponsor. Their page lists every one.

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

Hugh Ward

Director · 6 shared filings (3 issuers) · also on 8 other issuers

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

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

Neil Honebon

Director · 5 shared filings (2 issuers) · also on 3 other issuers

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

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

Les Aitkenhead

Director · 5 shared filings (2 issuers) · also on 3 other issuers

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

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

Juerg Schaeppi

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

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

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

Matteo Candolfini

Director · 3 shared filings (3 issuers)

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

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

Arno Kitts

Director · 3 shared filings (3 issuers) · also on 5 other issuers

Arno Kitts is on 8 issuers in total — a repeat sponsor. Their page lists every one.

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

Andrew Steward

Director · 3 shared filings (3 issuers) · also on 4 other issuers

Andrew Steward is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Robert Bovert

Director · 2 shared filings (1 issuer)

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

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

Jeffrey Meyer

Director · 2 shared filings (1 issuer) · also on 5 other issuers

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

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

Roger Guy

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

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

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

Heinz Riehl

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

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

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

Toby Hiscock

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

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

The team behind the deals

A
Sponsor group

Alphagen

11 issuers · 39 filings · $985.9M reported sold · 2009–2012

One team, 11 deal companies. Kenneth Lubbock is listed on 3 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 Lubbock.

JH
Sponsor group

Janus Henderson

24 issuers · 33 filings · $1.22B reported sold · 2009–2026

One team, 24 deal companies. Kenneth Lubbock is listed on 3 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 Lubbock.

Same business address

51 other issuers file from the same address (first 50 shown)

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)

A person is never an adviser firm. 3 of the 7 issuers this person is listed on match a Form ADV adviser (searched 24,962 advisers as of Oct 2, 2026): Janus Henderson Biotech Innovation Fund Ltd, Janus Henderson Equity Long/Short Fund Ltd, Janus Henderson Biotech Innovation Fund II Ltd.

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 Lubbock 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 7 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Kenneth Lubbock is listed on: none on file. No website or social profile named in Janus Henderson Biotech Innovation Fund Ltd's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #23,223 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 (Grand Cayman, E9). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗New York WebCivil Supreme ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

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