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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:08 AM ET

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Mark Brooks

Named as an officer, director or promoter on SEC Form D filings · CA, GA, TN, UT · Jul 22, 2009 → Mar 10, 2023

8deals (issuers)
$209.8Mreported sold
131investors
24Form D filings
2009–2023years on file

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

Mark Brooks is listed as an executive officer and director on 24 SEC Form D filings by 8 issuers between Jul 2009 and Mar 2023. Largest by amount reported sold: ALIMERA SCIENCES INC (Alpharetta, GA — pharmaceuticals — 2009–2014; $81M reported sold to 25 investors), Spinal Kinetics Inc (Sunnyvale, CA — other health care — 2009–2016; $33.8M reported sold to 33 investors), ORAYA THERAPEUTICS INC (Newark, CA — other technology — 2009–2014; $25.1M reported sold to 7 investors), CleanSlate Centers, Inc. (Brentwood, TN — industry reported as "Other" — 2018; $25M reported sold to 2 investors), ABS TOPCO, LLC (Encino, CA — other health care — 2019–2023; $17M reported sold to 13 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 14 years. Across those companies the filings report $209.8M sold in total.

Listed alongside Brian Halak (8 shared filings), David C. Gasmire (7 shared filings), David Fitzgerald (7 shared filings), Richard Ferrari (7 shared filings), Woodrin Grossman (6 shared filings) and 72 others.

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 18 bankruptcy cases matching the name listed in Key records below.

What this means 18 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 24 public filings for Mark Brooks and found 13 differences, 2 worth asking the sponsor about: Investor count went down between filings; Form D filed 543 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 Mark Brooks has not run yet — it is #4,193 of 7,815 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 27 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

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: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 Mark Brooks..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

18 cases: 18 closed (disposition not in docket feed)

Mark Brooks closed
United States Bankruptcy Court, C.D. California · No. 2:13-bk-26655 · Filed Jun 27, 2013 · Closed Aug 21, 2013
Role of Mark Brooks: Debtor · Outcome: Case closed 2013-08-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark S. Brooks, Jr. and Caryn L Brooks closed
United States Bankruptcy Court, S.D. Texas · No. 13-20196 · Filed May 3, 2013 · Closed Apr 7, 2015
Role of Mark S. Brooks, Jr.: Debtor · Outcome: Case closed 2015-04-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (TX)
Mark Brooks closed
United States Bankruptcy Court, C.D. California · No. 2:12-bk-33960 · Filed Jul 11, 2012 · Closed Sep 10, 2012
Role of Mark Brooks: Debtor · Outcome: Case closed 2012-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark R Brooks and Cheryl P Brooks closed
United States Bankruptcy Court, C.D. California · No. 6:12-bk-25239 · Filed Jun 26, 2012 · Closed Oct 5, 2012
Role of Mark R Brooks and Cheryl P Brooks: Debtor · Outcome: Case closed 2012-10-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark D. Brooks and Cynthia S. Brooks closed
United States Bankruptcy Court, E.D. Texas · No. 12-41013 · Filed Apr 17, 2012 · Closed Sep 7, 2017
Role of Mark D. Brooks and Cynthia S. Brooks: Debtor · Outcome: Case closed 2017-09-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (TX)
Mark J Brooks closed
United States Bankruptcy Court, C.D. California · No. 2:12-bk-15222 · Filed Feb 14, 2012 · Closed Jul 19, 2012
Role of Mark J Brooks: Debtor · Outcome: Case closed 2012-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark R Brooks and Cheryl P Brooks closed
United States Bankruptcy Court, C.D. California · No. 6:10-bk-45834 · Filed Nov 3, 2010 · Closed Aug 7, 2012
Role of Mark R Brooks and Cheryl P Brooks: Debtor · Outcome: Case closed 2012-08-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark Brooks and Cheryl Atterbury Brooks closed
United States Bankruptcy Court, C.D. California · No. 6:10-bk-34381 · Filed Jul 28, 2010 · Closed Dec 3, 2010
Role of Mark Brooks and Cheryl Atterbury Brooks: Debtor · Outcome: Case closed 2010-12-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark Brooks and Cheryl Atterbury Brooks closed
United States Bankruptcy Court, C.D. California · No. 2:10-bk-41347 · Filed Jul 28, 2010 · Closed Aug 2, 2010
Role of Mark Brooks and Cheryl Atterbury Brooks: Debtor · Outcome: Case closed 2010-08-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark A. Brooks closed
United States Bankruptcy Court, W.D. Tennessee · No. 04-15266 · Filed Nov 23, 2004 · Closed May 13, 2005
Role of Mark A. Brooks: Debtor · Outcome: Case closed 2005-05-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (TN)
Mark Brooks closed
United States Bankruptcy Court, M.D. Georgia · No. 02-11987 · Filed Aug 30, 2002 · Closed Sep 6, 2006
Role of Mark Brooks: Debtor · Outcome: Case closed 2006-09-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (GA)
Mark S. Brooks and Tiffiny R. Brooks closed
United States Bankruptcy Court, N.D. Texas · No. 02-45043 · Filed Jul 8, 2002 · Closed Apr 28, 2003
Role of Mark S. Brooks and Tiffiny R. Brooks: Debtor · Outcome: Case closed 2003-04-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (TX)
MARK BROOKS and LINDA L BROOKS closed
United States Bankruptcy Court, M.D. Tennessee · No. 3:02-bk-02845 · Filed Mar 7, 2002 · Closed Jun 14, 2002
Role of MARK BROOKS and LINDA L BROOKS: Debtor · Outcome: Case closed 2002-06-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (TN)
Mark W Brooks closed
United States Bankruptcy Court, C.D. California · No. 6:00-bk-18293 · Filed Jun 1, 2000 · Closed Sep 20, 2000
Role of Mark W Brooks: Debtor · Outcome: Case closed 2000-09-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark C. Brooks closed
United States Bankruptcy Court, N.D. Georgia · No. 00-66397 · Filed May 1, 2000 · Closed Sep 29, 2000
Role of Mark C. Brooks: Debtor · Outcome: Case closed 2000-09-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (GA)
Mark D. Brooks and Deborah A. Brooks closed
United States Bankruptcy Court, E.D. Tennessee · No. 2:95-bk-21939 · Filed Nov 22, 1995 · Closed Feb 27, 1996
Role of Mark D. Brooks and Deborah A. Brooks: Debtor · Outcome: Case closed 1996-02-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (TN)
Mark A. Brooks and Alison Brooks closed
United States Bankruptcy Court, C.D. California · No. 9:93-bk-11686 · Filed May 12, 1993 · Closed Sep 17, 1993
Role of Mark A. Brooks and Alison Brooks: Debtor · Outcome: Case closed 1993-09-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (CA)
Mark L. Brooks closed
United States Bankruptcy Court, M.D. Georgia · No. 90-53642 · Filed Dec 4, 1990 · Closed Mar 22, 1991
Role of Mark L. Brooks: Debtor · Outcome: Case closed 1991-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 186 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (GA)
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.

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

13 differences found between the filings for Mark Brooks — 2 worth asking about (compared 24 filings on Oct 24, 2026)

Worth asking · Mar 4, 2010 – Apr 14, 2011

Investor count went down between filings — Spinal Kinetics Inc

The Mar 4, 2010 filing reports 25 investors; the Apr 14, 2011 Form D/A reports 20 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.

Sources
Worth asking · Sep 19, 2011 – Mar 15, 2013

Form D filed 543 days after the first sale — Pittsburgh Holdings, Inc.

The filing says the first sale was Sep 19, 2011. The Form D was filed Mar 15, 2013 — 543 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 528 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.

Sources
Note · Jan 31, 2014 – Feb 18, 2014

Form D filed 18 days after the first sale — ALIMERA SCIENCES INC

The filing says the first sale was Jan 31, 2014. The Form D was filed Feb 18, 2014 — 18 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 3 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Sources
Note · Apr 23, 2009 – Apr 27, 2012

5 offerings changed their target amount between filings

Offering amount changed between filings — Spinal Kinetics Inc · Offering amount changed between filings — Spinal Kinetics Inc · Offering amount changed between filings — ORAYA THERAPEUTICS INC · Offering amount changed between filings — Spinal Kinetics Inc · Offering amount changed between filings — ORAYA THERAPEUTICS INC

What this means Targets change as deals grow or shrink. Ask whether later money has the same terms.

Sources
Note · Sep 3, 2009 – Jun 7, 2019

7 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 — Three Oaks Hospice, Inc. (latest filing Jun 7, 2019) · No amendment in the last 12 months on an offering that may still be open — Spinal Kinetics Inc (latest filing Nov 4, 2016) · No amendment in the last 12 months on an offering that may still be open — Spinal Kinetics Inc (latest filing Jun 3, 2014) · No amendment in the last 12 months on an offering that may still be open — ORAYA THERAPEUTICS INC (latest filing May 13, 2014) · No amendment in the last 12 months on an offering that may still be open — Pittsburgh Holdings, Inc. (latest filing Mar 15, 2013) · and 2 more

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

Sources
Note · Sep 17, 2009 – Jun 3, 2014

Industry group changed between filings — Spinal Kinetics Inc

"Other" (Sep 17, 2009 to Apr 27, 2012); then "Other Health Care" (Jun 3, 2014 to Nov 4, 2016).

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.

Sources
Note · Dec 11, 2023

Same name, different state: "Mark Brooks" (PA) is a separate record

This page covers filings where the address state is CA or GA or TN or UT. A separate record, "Mark Brooks" with address state PA, is listed on 1 filing — most recently by Evergreen Real Estate Fund VI LLC (Dec 11, 2023). The two records do not overlap in time: this page runs Jul 22, 2009 to Mar 10, 2023; the other has one filing dated Dec 11, 2023.

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.

Sources
Note · Jan 4, 2017 – Aug 21, 2018

Same name, different state: "Mark W Brooks" (TX) is a separate record

This page covers filings where the address state is CA or GA or TN or UT. A separate record, "Mark W Brooks" with address state TX, is listed on 3 filings — most recently by Fuse Medical, Inc. (Aug 21, 2018). Both records have filings in the same period (Jan 4, 2017 to Aug 21, 2018).

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
Note · Aug 7, 2014

Same name, different state: "Mark B. Brooks" (MA) is a separate record

This page covers filings where the address state is CA or GA or TN or UT. A separate record, "Mark B. Brooks" with address state MA, is listed on 1 filing — most recently by VGL LLC (Aug 7, 2014). Both records have filings in the same period (Aug 7, 2014).

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
Note · Feb 1, 2010

Same name, different state: "Mark J. Brooks" (CA) is a separate record

This page covers filings where the address state is CA or GA or TN or UT. A separate record, "Mark J. Brooks" with address state CA, is listed on 1 filing — most recently by Scale Venture Partners III, L.P. (Feb 1, 2010). Both records have filings in the same period (Feb 1, 2010).

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
Note · Mar 1, 2022 – Mar 10, 2023

Address moved from Salt Lake City, UT to Encino, CA — ABS TOPCO, LLC

The people listed on the Mar 1, 2022 filing give Salt Lake City, UT; on the Mar 10, 2023 filing they give Encino, CA.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Sources
Note · Mar 4, 2010 – Apr 14, 2011

Address moved from Boston, MA to Sunnyvale, CA — Spinal Kinetics Inc

The people listed on the Mar 4, 2010 filing give Boston, MA; on the Apr 14, 2011 filing they give Sunnyvale, CA.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Sources
Note · Jul 22, 2009 – Mar 10, 2023

Mark Brooks is listed with 4 different address states: CA, GA, TN, UT

CA on 17 filings (Jul 22, 2009 to Mar 10, 2023); GA on 4 filings (May 25, 2011 to Feb 18, 2014); TN on 1 filing (May 25, 2018); UT on 2 filings (Aug 9, 2019 to Mar 1, 2022).

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.

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

1 of 19 offerings reports sales commissions totalling $2,250,000; 0 report finder's fees; 1 reports proceeds to related persons totalling $200,000.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 10, 2023 D
ABS TOPCO, LLC
File 021-475410
$0$0$0None listed on this filingEDGAR ↗
Mar 1, 2022 D
ABS TOPCO, LLC
File 021-435392
$0$0$0None listed on this filingEDGAR ↗
Aug 9, 2019 D
ABS TOPCO, LLC
File 021-346240
$0$0$0None listed on this filingEDGAR ↗
Jun 7, 2019 D
Three Oaks Hospice, Inc.
File 021-341447
$0$0$0None listed on this filingEDGAR ↗
May 25, 2018 D
CleanSlate Centers, Inc.
File 021-313341
$0$0$0
None except for normal operation expenses
None listed on this filingEDGAR ↗
Nov 4, 2016 D
Spinal Kinetics Inc
File 021-273843
$0$0$0None listed on this filingEDGAR ↗
Jun 3, 2014 D
Spinal Kinetics Inc
File 021-218439
$0$0$0None listed on this filingEDGAR ↗
May 13, 2014 D
ORAYA THERAPEUTICS INC
File 021-217228
$0$0$0None listed on this filingEDGAR ↗
Feb 18, 2014 D
ALIMERA SCIENCES INC
File 021-212053
$2,250,000$0$0Cowen and Company, LLC BrokerCheck CRD 7616 ↗
via Cowen and Company, LLC (CRD 7616 ↗)
EDGAR ↗
Mar 15, 2013 D
Pittsburgh Holdings, Inc.
File 021-193409
$0$0$0None listed on this filingEDGAR ↗
Oct 5, 2012 D
ALIMERA SCIENCES INC
File 021-185102
$0$0$0None listed on this filingEDGAR ↗
Apr 27, 2012 D/A
Spinal Kinetics Inc
File 021-65074
$0$0$0None listed on this filingEDGAR ↗
Oct 3, 2011 D
New Century Hospice, Inc.
File 021-166682
$0$0$0None listed on this filingEDGAR ↗
May 25, 2011 D
ALIMERA SCIENCES INC
File 021-160301
$0$0$0None listed on this filingEDGAR ↗
Apr 8, 2011 D
New Century Hospice, Inc.
File 021-158068
$0$0$0None listed on this filingEDGAR ↗
Apr 5, 2011 D/A
ORAYA THERAPEUTICS INC
File 021-152645
$0$0$0None listed on this filingEDGAR ↗
Oct 12, 2010 D
New Century Hospice, Inc.
File 021-148834
$0$0$200,000None listed on this filingEDGAR ↗
Sep 4, 2009 D
ALIMERA SCIENCES INC
File 021-59576
$0$0$0None listed on this filingEDGAR ↗
Jul 22, 2009 D
ORAYA THERAPEUTICS INC
File 021-101715
$0$0$0None listed on this filingEDGAR ↗
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 Mark Brooks 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

ABS TOPCO, LLC

Encino, CA · Aug 9, 2019 → Mar 10, 2023 · 3 filings
  • Mar 10, 2023 · D · $3,500,014 sold of $3,500,014 · 9 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 1, 2022 · D · $5,000,000 sold of $5,000,000 · 11 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 9, 2019 · D · $17,000,000 sold of $17,000,000 · 13 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $17M from 13 investors (100% of the $3.5M target) as of the latest filing. Mark is listed as director on 3 filings for this deal.

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.

Other Health Care

Three Oaks Hospice, Inc.

Dallas, TX · Jun 7, 2019
  • Jun 7, 2019 · D · $15,800,000 sold of $21,200,000 · 17 investors · min. $25,000 · role: Director EDGAR ↗

Raised $15.8M from 17 investors (75% of the $21.2M target) as of the latest filing. Mark is listed as 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: 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.

Other

CleanSlate Centers, Inc.

Brentwood, TN · May 25, 2018
  • May 25, 2018 · D · $25,000,000 sold of $25,000,000 · 2 investors · min. $10,000,000 · role: Director EDGAR ↗

Raised $25M from 2 investors (100% of the $25M target) as of the latest filing. Mark is listed as 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: Other / 506(b) (18,678 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 Health Care

Spinal Kinetics Inc

Sunnyvale, CA · Sep 17, 2009 → Nov 4, 2016 · 7 filings
  • Nov 4, 2016 · D · $1,282,124 sold of $1,650,000 · 14 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 3, 2014 · D · $33,845,419 sold of $34,765,870 · 33 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 27, 2012 · D/A · $18,583,259 sold of $21,930,512 · 27 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 14, 2011 · D/A · $16,083,259 sold of $16,930,512 · 20 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 14, 2011 · D/A · $16,083,259 sold of $16,930,512 · 20 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 4, 2010 · D/A · $9,401,843 sold of $14,441,178 · 25 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 17, 2009 · D · $5,256,505 sold of $9,529,833 · 20 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $33.8M from 33 investors (100% of the $1.65M target) as of the latest filing. Mark is listed as director on 7 filings for this deal.

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.

Other Technology

ORAYA THERAPEUTICS INC

Newark, CA · Jul 22, 2009 → May 13, 2014 · 4 filings
  • May 13, 2014 · D · $25,132,051 sold of $38,232,006 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 5, 2011 · D/A · $20,875,000 sold of $20,875,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 29, 2010 · D · $5,000,000 sold of $5,000,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 22, 2009 · D · $20,875,000 sold of $20,875,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $25.1M from 7 investors (66% of the $38.2M target) as of the latest filing. Mark is listed as director on 4 filings for this deal.

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 Technology / 506(b) (17,390 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.

Pharmaceuticals

ALIMERA SCIENCES INC

Alpharetta, GA · Sep 4, 2009 → Feb 18, 2014 · 4 filings
  • Feb 18, 2014 · D · $37,500,000 sold of $37,500,000 · 21 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 5, 2012 · D · $40,000,000 sold of $40,000,000 · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 25, 2011 · D · $332,486 sold of $332,486 · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 4, 2009 · D · $5,000,000 sold of $5,000,000 · 25 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $81M from 25 investors (100% of the $37.5M target) as of the latest filing. Mark is listed as director on 4 filings for this deal.

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.

Other

Pittsburgh Holdings, Inc.

Norcross, Georgia (as filed: 2Q) · Mar 15, 2013
  • Mar 15, 2013 · D · $0 sold of $19,838,782 · 21 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

21 investors reported; no amount sold yet as of the latest filing. Mark 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.

Other Health Care

New Century Hospice, Inc.

Dallas, TX · Oct 12, 2010 → Oct 3, 2011 · 3 filings
  • Oct 3, 2011 · D · $1,296,337 sold of $1,296,337 · 13 investors · min. $1 · role: Director EDGAR ↗
  • Apr 8, 2011 · D · $1,000,000 sold of $1,303,481 · 2 investors · min. $1 · role: Director EDGAR ↗
  • Oct 12, 2010 · D · $12,000,000 sold of $12,000,000 · 2 investors · min. $4,000,000 · role: Director EDGAR ↗

Raised $12M from 13 investors (100% of the $1.3M target) as of the latest filing. Mark is listed as director on 3 filings for this deal.

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 (4)

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

  • Mark B. Brooks — MA, 1 issuer, Aug 7, 2014 → Aug 7, 2014 · no shared issuer
  • Mark W Brooks — TX, 1 issuer, Jan 4, 2017 → Aug 21, 2018 · no shared issuer
  • Mark Brooks — PA, 1 issuer, Dec 11, 2023 → Dec 11, 2023 · no shared issuer
  • Mark J. Brooks — CA, 1 issuer, Feb 1, 2010 → Feb 1, 2010 · no shared issuer

People around Mark 40

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.

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

Brian Halak

Director · 8 shared filings (2 issuers) · also on 16 other issuers

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

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

Richard Ferrari

Director · 7 shared filings (1 issuer) · also on 16 other issuers

Richard Ferrari is on 17 issuers in total — a repeat sponsor. Their page lists every one.

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

David Fitzgerald

Director, Executive Officer · 7 shared filings (3 issuers) · also on 4 other issuers

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

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

David C. Gasmire

Executive Officer, Director · 7 shared filings (3 issuers)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Woodrin Grossman

Director, Executive Officer · 6 shared filings (3 issuers)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Al Wiegman

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

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

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

Nandini Tandon

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

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Tom Afzal

Executive Officer, Director · 5 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Peter Cohn

Executive Officer · 4 shared filings (1 issuer) · also on 11 other issuers

Peter Cohn is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

Reza Zadno

Director · 4 shared filings (1 issuer) · also on 8 other issuers

Reza Zadno is on 9 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael Gertner

Executive Officer, Director · 4 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Calvin Roberts

Director · 4 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Richard S. Eiswirth

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

David Milne

Director · 4 shared filings (1 issuer) · also on 12 other issuers

David Milne is on 13 issuers in total — a repeat sponsor. Their page lists every one.

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

John Tran

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

John Onopchenko

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

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

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

Peter J. Pizzo

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

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

James Taylor

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

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

T. A. Blake

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

William Ward

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Jerry Lyden

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

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Michael Kaplan

Director · 3 shared filings (1 issuer) · also on 5 other issuers

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

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

Glen Bradley

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Adam Singer

Executive Officer, Director · 3 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Matthew Sotelo

Director, Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Fernando Sarria

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Melissa Daniels

Director · 2 shared filings (1 issuer) · also on 18 other issuers

Melissa Daniels is on 19 issuers in total — a repeat sponsor. Their page lists every one.

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

Guido Neels

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

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

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

Ken Anstey

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Charles Daniel Myers

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

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Lou Bock

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

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

James R. Largent

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

C. Daniel Myers

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

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Phil Tracy

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Diane Daych

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

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

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

Garheng Kong

Director · 2 shared filings (2 issuers)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Peter van der Velden

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Jeffrey Skibitsky

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

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

Bryce Youngren

Director · 2 shared filings (1 issuer) · also on 9 other issuers

Bryce Youngren is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Philip Tracy

Director · 2 shared filings (1 issuer)

Listed on the same filings as Mark Brooks. Their page shows their other deals.

The team behind the deals

Same business address

20 other issuers file from the same address

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

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 Mark Brooks 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 Mark Brooks is listed on: none on file. No website or social profile named in CleanSlate Centers, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #254,402 of 374,652 in line (14 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 (Brentwood, TN). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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