Lori Thelen is listed as an executive officer on 4 SEC Form D filings by 1 issuer between Oct 2009 and Dec 2011: Clean Wave Technologies, Inc. (Mountain View, CA — other technology — 2009–2011; $8.76M reported sold to 35 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside J. Roberta Kubic (4 shared filings), Mary K. Kubic (4 shared filings), Mike Kubic (4 shared filings), Rudy Garriga (4 shared filings) and Christophe Charlier (3 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Lori. 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, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, 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 4 public filings for Lori Thelen and found 4 differences: No amendment in the last 12 months on an offering that may still be open; Offering amount changed between filings; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.