PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:02 AM ET

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KOMATHI STEM

Named as an officer, director or promoter on SEC Form D filings · CA · May 9, 2018 → Aug 18, 2023

2deals (issuers)
$31.4Mreported sold
24investors
2Form D filings
2018–2023years on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:41 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

KOMATHI STEM is listed as an executive officer and director on 2 SEC Form D filings by 2 issuers between May 2018 and Aug 2023: Glooko, Inc. (Palo Alto, CA — other health care — 2023; $30M reported sold to 11 investors) and MONARC BIONETWORKS, INC. (San Francisco, CA — biotechnology — 2018; $1.44M reported sold to 13 investors).

What this means 2 separate companies raised money with this person listed as executive officer and director, over about 5 years. Across those companies the filings report $31.4M sold in total.

Listed alongside Alfonso Zulueta (1 shared filing), Charles Boorady (1 shared filing), Christina Dickerson (1 shared filing), Clay Davidson (1 shared filing), DANIEL ROTHMAN (1 shared filing) and 8 others.

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 30 court cases matching the name, 6 SEC releases, 7 bankruptcy cases matching the name listed in Key records below.

What this means 43 records came back, including 3 court cases still open — open cases can take years and cost money. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 2 public filings for KOMATHI STEM and found 5 differences, 1 worth asking the sponsor about: 5 regulator actions name the subject or team members; 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 KOMATHI STEM has not run yet — it is joining a line of 45,751 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

30 cases: 3 open, 15 closed (disposition not in docket feed), 9 dismissed, 3 judgment

Stem v. Secretary of Health and Human Services open
District Court, W.D. Texas · No. 1:25-cv-01178 · Filed Jul 29, 2025 · Nature of suit: Other Statutes: Administrative Procedures Act/Review or Appeal of Agency Decision · Cause: 42:1383 Review of HHS Decision
Role of Stem: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in TX (not a filing state)
Eberle v. STEM Studio, LLC closed
District Court, N.D. Illinois · No. 1:24-cv-13359 · Filed Dec 30, 2024 · Closed Feb 7, 2025
Role of STEM Studio, LLC: Defendant · Outcome: Terminated 2025-02-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in IL (not a filing state)
Stem v. Karto, LLC closed
District Court, N.D. Texas · No. 3:24-cv-02639 · Filed Oct 22, 2024 · Closed May 16, 2025
Role of Stem: Plaintiff · Outcome: Terminated 2025-05-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in TX (not a filing state)
Cryogen, LLC v. Stem Health open
District Court, E.D. North Carolina · No. 5:23-cv-00513 · Filed Sep 21, 2023 · Nature of suit: Contract: Other · Cause: 28:1332 Diversity-Contract Dispute
Role of Stem Health: Defendant · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in NC (not a filing state)
Stem v. Revlon Consumer Products Corporation open
District Court, N.D. Illinois · No. 1:23-cv-09507 · Filed Sep 11, 2023
Role of Stem: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in IL (not a filing state)
Batista v. Stem Generation, LLC closed
District Court, E.D. New York · No. 1:23-cv-05577 · Filed Jul 24, 2023 · Closed Sep 11, 2023
Role of Stem Generation, LLC: Defendant · Outcome: Terminated 2023-09-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in NY (not a filing state)
Foley v. Stem, Inc. closed
District Court, N.D. California · No. 3:23-cv-03424 · Filed Jul 10, 2023 · Closed Sep 1, 2023 · Nature of suit: 850 Securities/Commodities · Cause: 15:77 Securities Fraud
Role of Stem, Inc.: Defendant · Outcome: Terminated 2023-09-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); different first name (inc); court in the person's filing state (CA)
In re Stem, Inc. Securities Litigation closed
District Court, N.D. California · No. 3:23-cv-02329 · Filed May 12, 2023 · Closed Dec 18, 2025 · Nature of suit: 850 Securities/Commodities · Cause: 15:77 Securities Fraud
Role of Stem, Inc. Securities Litigation: Party · Outcome: Terminated 2025-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); different first name (inc); court in the person's filing state (CA)
International Stem Cell Corporation v. Stericycle, Inc. closed
District Court, C.D. California · No. 2:23-cv-02497 · Filed Apr 3, 2023 · Closed May 7, 2023 · Nature of suit: 190 Contract: Other · Cause: 28:1441 Notice of Removal -- Other Contract
Role of International Stem Cell Corporation: Plaintiff · Outcome: Terminated 2023-05-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in the person's filing state (CA)
STEM v. SAFECO INSURANCE COMPANY OF ILLINOIS closed
District Court, E.D. Pennsylvania · No. 2:23-cv-00913 · Filed Mar 9, 2023 · Closed Jan 10, 2024
Role of STEM: Plaintiff · Outcome: Terminated 2024-01-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in PA (not a filing state)
STEM Library Lab v. Scottsdale Insurance Company closed
District Court, M.D. Louisiana · No. 3:22-cv-00616 · Filed Sep 7, 2022 · Closed Feb 16, 2024
Role of STEM Library Lab: Plaintiff · Outcome: Terminated 2024-02-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in LA (not a filing state)
STEM HOLDINGS, INC. v. Blake Investment Group closed
District Court, S.D. Florida · No. 9:22-cv-80504 · Filed Mar 30, 2022 · Closed Mar 31, 2022 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of STEM HOLDINGS, INC.: Plaintiff · Outcome: Terminated 2022-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in FL (not a filing state)
STEM HOLDINGS, INC. v. BLAKE INVESTMENT GROUP, INC. closed
District Court, S.D. Florida · No. 9:22-cv-80507 · Filed Mar 30, 2022 · Closed Dec 15, 2022 · Nature of suit: 190 Contract: Other · Cause: 28:1332 Diversity-Breach of Contract
Role of STEM HOLDINGS, INC.: Plaintiff · Outcome: Terminated 2022-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in FL (not a filing state)
STEM HOLDINGS, INC. v. BLAKE INVESTMENT GROUP, INC. closed
District Court, S.D. Florida · No. 9:22-cv-80506 · Filed Mar 30, 2022 · Closed Mar 30, 2022
Role of STEM HOLDINGS, INC.: Plaintiff · Outcome: Terminated 2022-03-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in FL (not a filing state)
Stem v. The Home Depot U.S.A. Inc closed
District Court, D. South Carolina · No. 4:21-cv-00252 · Filed Jan 27, 2021 · Closed May 5, 2022
Role of Stem: Plaintiff · Outcome: Terminated 2022-05-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in SC (not a filing state)
Mendez v. Global Institute Of Stem Cell Therapy And Research, USA closed
District Court, S.D. California · No. 3:20-cv-00915 · Filed May 15, 2020 · Closed Aug 31, 2022 · Nature of suit: Constitutional - State Statute · Cause: 28:1332fd Diversity-Breach of Fiduciary Duty
Role of Global Institute Of Stem Cell Therapy And Research, USA: Defendant · Outcome: Terminated 2022-08-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in the person's filing state (CA)
Michigan Urgent & Primary Care Physicians, P.C. v. R3 Stem Cell, LLC dismissed
District Court, E.D. Michigan · No. 2:20-cv-10296 · Filed Feb 5, 2020 · Closed Jul 22, 2020 · Nature of suit: 890 Other statutory actions · Cause: 28:1331 Fed. Question
Role of R3 Stem Cell, LLC: Defendant · Outcome: Terminated 2020-07-22 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in MI (not a filing state)
United States v. US Stem Cell Clinic, LLC judgment
District Court, S.D. Florida · No. 0:18-cv-61047 · Filed May 9, 2018 · Closed Jun 3, 2019 · Nature of suit: 890 Other Statutory Actions · Cause: 28:1345 USA Plaintiff
Role of US Stem Cell Clinic, LLC: Defendant · Outcome: Terminated 2019-06-03 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in FL (not a filing state)
United States v. California Stem Cell Treatment Center, Inc. closed
District Court, C.D. California · No. 5:18-cv-01005 · Filed May 9, 2018 · Closed Aug 30, 2022 · Nature of suit: 890 Other Statutory Actions · Cause: 15:0053(b) Prelim & Perm Inj Relief & Other Equitable Rel
Role of California Stem Cell Treatment Center, Inc.: Defendant · Outcome: Terminated 2022-08-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); different first name (california); court in the person's filing state (CA)
STEM v. NAVIENT SOLUTIONS, INC. dismissed
District Court, W.D. Pennsylvania · No. 3:14-cv-00115 · Filed Jun 2, 2014 · Closed May 14, 2015 · Nature of suit: 480 Consumer credit
Role of STEM: Plaintiff · Outcome: Terminated 2015-05-14 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in PA (not a filing state)
Medivet-America, LLC v. Vet-Stem, Inc. dismissed
District Court, S.D. California · No. 3:13-cv-00498 · Filed Mar 1, 2013 · Closed Aug 5, 2014 · Nature of suit: 190 Other contract actions
Role of Vet-Stem, Inc.: Defendant · Outcome: Terminated 2014-08-05 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); different first name (inc); court in the person's filing state (CA)
National Stem Cell Inc. v. Shamblott dismissed
District Court, S.D. New York · No. 1:08-cv-06921 · Filed Aug 1, 2008 · Closed Oct 17, 2008 · Nature of suit: 190 Other contract actions
Role of National Stem Cell Inc.: Plaintiff · Outcome: Terminated 2008-10-17 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in NY (not a filing state)
Johns Hopkins University v. National Stem Cell, Inc. dismissed
District Court, D. Maryland · No. 1:08-cv-00563 · Filed Mar 3, 2008 · Closed Aug 1, 2008 · Nature of suit: 190 Other contract actions
Role of National Stem Cell, Inc.: Defendant · Outcome: Terminated 2008-08-01 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in MD (not a filing state)
Stem v. Equifax Information Services, L. L. C. dismissed
District Court, E.D. Michigan · No. 2:04-cv-73216 · Filed Aug 19, 2004 · Closed Apr 28, 2005 · Nature of suit: 890 Other statutory actions
Role of Stem: Plaintiff · Outcome: Terminated 2005-04-28 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in MI (not a filing state)
Stem v. Continental Airlines dismissed
District Court, W.D. Oklahoma · No. 5:03-cv-00943 · Filed Jul 11, 2003 · Closed Oct 8, 2004 · Nature of suit: 190 Contract: Other · Cause: 28:1441 Petition For Removal--Other Contract
Role of Stem: Plaintiff · Outcome: Terminated 2004-10-08 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in OK (not a filing state)
Stem v. Northwest Airlines dismissed
District Court, W.D. Oklahoma · No. 5:03-cv-00901 · Filed Jul 3, 2003 · Closed Oct 8, 2004 · Nature of suit: 190 Other contract actions
Role of Stem: Plaintiff · Outcome: Terminated 2004-10-08 — FJC Integrated Database disposition: Dismissed: lack of jurisdiction Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in OK (not a filing state)
TRAVELERS INSURANCE v. STEM, ET AL closed
District Court, E.D. Pennsylvania · No. · Filed Jul 12, 2002 · Closed Jul 29, 2002 · Nature of suit: 380 Other personal property damage
Role of STEM: Defendant · Outcome: Terminated 2002-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in PA (not a filing state)
TRAVELERS INSURANCE v. STEM judgment
District Court, E.D. Pennsylvania · No. 2:02-cv-01047 · Filed Feb 28, 2002 · Closed Jul 29, 2002 · Nature of suit: 380 Other personal property damage
Role of STEM: Defendant · Outcome: Terminated 2002-07-29 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in PA (not a filing state)
Stem v. New York Times Co judgment
District Court, W.D. Tennessee · No. 1:93-cv-01136 · Filed Jul 30, 1993 · Closed Sep 26, 1994 · Nature of suit: 320 Assault, libel, and slander
Role of Stem: Plaintiff · Outcome: Terminated 1994-09-26 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in TN (not a filing state)
Agrimac Exports Ltd. v. Stem dismissed
District Court, S.D. Alabama · No. 1:90-cv-00746 · Filed Sep 27, 1990 · Closed Jul 16, 1992 · Nature of suit: 290 Other real property actions
Role of Stem: Defendant · Outcome: Terminated 1992-07-16 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in AL (not a filing state)
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, 2:41 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

6 SEC releases

Stem Cell Inc. Administrative proceeding
SEC · Sep 11, 2025 · Parties as named in the release: Stem Cell Inc. Read the release ↗
same rare surname (2 people in Form D filings); surname inside a company name in the title
RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Administrative proceeding
SEC · Jan 26, 2012 · Parties as named in the release: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Read the release ↗
same rare surname (2 people in Form D filings); surname only; the person's filing state is not named
RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Administrative proceeding
SEC · Dec 22, 2011 · Parties as named in the release: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Read the release ↗
same rare surname (2 people in Form D filings); surname only; the person's filing state is not named
RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Administrative proceeding
SEC · Dec 5, 2011 · Parties as named in the release: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Read the release ↗
same rare surname (2 people in Form D filings); surname only; the person's filing state is not named
RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Administrative proceeding
SEC · Dec 1, 2011 · Parties as named in the release: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Read the release ↗
same rare surname (2 people in Form D filings); surname only; the person's filing state is named in the release
RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Administrative proceeding
SEC · Nov 9, 2011 · Parties as named in the release: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. Read the release ↗
same rare surname (2 people in Form D filings); surname only; the person's filing state is named in the release
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 KOMATHI STEM..

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

7 cases: 7 closed (disposition not in docket feed)

Seraphim Stem Cell Research Foundation fka Boston closed
United States Bankruptcy Court, C.D. California · No. 2:22-bk-14911 · Filed Sep 7, 2022 · Closed Nov 16, 2022
Role of Seraphim Stem Cell Research Foundation fka Boston: Debtor · Outcome: Case closed 2022-11-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); different first name (seraphim); court in the person's filing state (CA)
STEM Genesis, LLC closed
United States Bankruptcy Court, M.D. Florida · No. 8:21-bk-01420 · Filed Mar 26, 2021 · Closed Jun 7, 2021
Role of STEM Genesis, LLC: Debtor · Outcome: Case closed 2021-06-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in FL (not a filing state)
STEM LLC v. Astor EB-5, LLC closed
United States Bankruptcy Court, S.D. Florida. · No. 19-01333 · Filed Aug 20, 2019 · Closed Oct 16, 2019
Role of STEM LLC: Plaintiff · Outcome: Case closed 2019-10-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in FL (not a filing state)
Scitech Services Inc. v. Stem International, Inc. closed
United States Bankruptcy Court, D. Maryland · No. 11-00355 · Filed May 6, 2011 · Closed Jul 19, 2011
Role of Stem International, Inc.: Defendant · Outcome: Case closed 2011-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in MD (not a filing state)
Stem International, Inc. closed
United States Bankruptcy Court, D. Maryland · No. 11-18831 · Filed Apr 28, 2011 · Closed Jan 25, 2012
Role of Stem International, Inc.: Debtor · Outcome: Case closed 2012-01-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in MD (not a filing state)
Heller Ehrman LLP v. Stem CentRx, LLC closed
United States Bankruptcy Court, N.D. California · No. 10-03259 · Filed Dec 8, 2010 · Closed Mar 14, 2011
Role of Stem CentRx, LLC: Defendant · Outcome: Case closed 2011-03-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); surname only in the caption; court in the person's filing state (CA)
Blue Stem Industries Inc closed
United States Bankruptcy Court, C.D. California · No. 1:94-bk-40784 · Filed Aug 19, 1994 · Closed Nov 25, 1995
Role of Blue Stem Industries Inc: Debtor · Outcome: Case closed 1995-11-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 95 federal dockets); different first name (blue); court in the person's filing state (CA)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:41 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

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

5 differences found between the filings for KOMATHI STEM — 1 worth asking about (compared 2 filings on Oct 24, 2026)

Worth asking · Nov 9, 2011 – Jan 26, 2012

5 regulator actions name the subject or team members

Regulator action: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. (Jan 26, 2012) · Regulator action: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. (Dec 22, 2011) · Regulator action: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. (Dec 5, 2011) · Regulator action: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. (Dec 1, 2011) · Regulator action: RMD Technologies, Inc., Rockwall Holdings, Inc., Royston Mannor Estates, Inc., Southmark Corp., Stargold Mines, Inc., Stelax Industries, Ltd., Stem Cell Innovations, Inc., and Surfect Holdings, Inc. (Nov 9, 2011)

What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.

Sources
Note · Jan 31, 1997 – Jun 24, 1997

Bankruptcy case: Household Finance Corp. v. Zulueta — filed Jan 31, 1997

United States Bankruptcy Court, N.D. California docket "Household Finance Corp. v. Zulueta" filed Jan 31, 1997, closed Jun 24, 1997. Alfonso Zulueta (listed on the same filings) is listed as Defendant ("Zulueta"). Our match estimate: 70%.

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.

Sources
Note · May 9, 2018 – Aug 2, 2024

KOMATHI STEM appears on 2 deals that stopped filing before reaching their target

Glooko, Inc. (last filing Aug 2, 2024; $30,000,000 sold of $124,000,000); MONARC BIONETWORKS, INC. (last filing May 9, 2018; $1,444,348 sold of $5,694,348). 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.

Sources
Note · Apr 25, 2018 – May 9, 2018

No amendment in the last 12 months on an offering that may still be open — MONARC BIONETWORKS, INC. (latest filing May 9, 2018)

The latest filing for this offering is dated May 9, 2018 (first sale Apr 25, 2018). It reports $1,444,348 sold of $5,694,348 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.

Sources
Note · Oct 26, 2021 – Mar 6, 2025

Same name, different state: "Komathi Stem" (CO) is a separate record

This page covers filings where the address state is CA. A separate record, "Komathi Stem" with address state CO, is listed on 4 filings — most recently by CoPeace PBC (Mar 6, 2025). Both records have filings in the same period (Oct 26, 2021 to Aug 18, 2023).

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.

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

None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Aug 18, 2023 D
Glooko, Inc.
File 021-490085
$0$0$0None listed on this filingEDGAR ↗
May 9, 2018 D
MONARC BIONETWORKS, INC.
File 021-311946
$0$0$0None listed on this filingEDGAR ↗

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 2

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

Other Health Care

Glooko, Inc.

Palo Alto, CA · Aug 18, 2023
  • Aug 18, 2023 · D · $0 sold of $67,000,000 · 0 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $30M from 11 investors (45% of the $67M target) as of the latest filing. Komathi is listed as executive officer.

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: Other Health Care / 506(b) (4,189 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

MONARC BIONETWORKS, INC.

San Francisco, CA · May 9, 2018
  • May 9, 2018 · D · $1,444,348 sold of $5,694,348 · 13 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $1.44M from 13 investors (25% of the $5.69M target) as of the latest filing. Komathi is listed as executive officer, director.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other pages with the same name (1)

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

  • Komathi Stem — CO, 1 issuer, Oct 26, 2021 → Mar 6, 2025 · no shared issuer

People around Komathi 13

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

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

Wende Hutton

Director · 1 shared filing (1 issuer) · also on 17 other issuers

Wende Hutton is on 18 issuers in total — a repeat sponsor. Their page lists every one.

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

Yogen Dalal

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

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

DANIEL ROTHMAN

Director · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Steve Lien

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Russ Johannesson

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

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Clay Davidson

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Charles Boorady

Director · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Simon Chong

Director · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Alfonso Zulueta

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

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Ed Marshall

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Tracy Bahl

Director · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Christina Dickerson

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

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

Prakash Menon

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Komathi Stem. Their page shows their other deals.

The team behind the deals

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 2 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 KOMATHI STEM 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Komathi Stem is listed on: none on file. No website or social profile named in MONARC BIONETWORKS, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #254,218 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 (San Francisco, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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