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

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Mark A. Smith

Named as an officer, director or promoter on SEC Form D filings · CA · Aug 22, 2017 → Jan 31, 2020

1deal (issuers)
$4.78Mreported sold
129investors
4Form D filings
2017–2020years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark A. Smith is listed as an executive officer on 4 SEC Form D filings by 1 issuer between Aug 2017 and Jan 2020: VistaGen Therapeutics, Inc. (South San Francisco, CA — pharmaceuticals — 2017–2020; $4.78M reported sold to 129 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 Brian J. Underdown (4 shared filings), H. Ralph Snodgrass (4 shared filings), Jerrold D. Dotson (4 shared filings), Jerry B. Gin (4 shared filings), Jon S. Saxe (4 shared filings) and 3 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) — 3 court cases matching the name, 2 SEC releases, 2 state regulator orders, 15 bankruptcy cases matching the name listed in Key records below.

What this means 22 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 4 public filings for Mark A. Smith and found 10 differences, 2 worth asking the sponsor about: Form D filed 85 days after the first sale; Form D filed 145 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 A. Smith has not run yet — it is joining a line of 14,723 names; searches run around the clock at the hosts' allowed rate. Searched so far: 28 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

3 cases: 2 closed (disposition not in docket feed), 1 judgment

Mark Smith v. Sergei Daniel Vinkov closed
District Court, C.D. California · No. 5:20-cv-01070 · Filed May 21, 2020 · Closed Jul 6, 2020 · Nature of suit: Assault Libel & Slander · Cause: 28:1441 Notice of Removal - Libel,Assault,Slander
Role of Mark Smith: Plaintiff · Outcome: Terminated 2020-07-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Nerium International, LLC v. Mark Smith closed
District Court, C.D. California · No. 8:19-mc-00003 · Filed Jan 11, 2019 · Closed Feb 21, 2019
Role of Mark Smith: Defendant · Outcome: Terminated 2019-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark Smith v. Nerium International, LLC judgment
District Court, C.D. California · No. 8:18-cv-01088 · Filed Jun 19, 2018 · Closed Sep 10, 2019 · Nature of suit: 190 Contract: Other · Cause: 28:1441 Notice of Removal - Breach of Contract
Role of Mark Smith: Plaintiff · Outcome: Terminated 2019-09-10 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for both plaintiff and defendant Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
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, 2:21 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

2 SEC releases; 2 state regulator orders

Order AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Apr 17, 2023 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · Decision No. 78908 · Parties (regulator's caption): Bear Fruit Films, L.L.C.; James Simmons; Mark Smith
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; regulator in AZ (not a filing state)
Action filed AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Apr 1, 2020 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · eDocket 25237 ↗ · Parties (regulator's caption): Bear Fruit Films, L.L.C. a.k.a. Bearfruit Films; James Simmons; Casey Simmons; Mark Smith
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; regulator in AZ (not a filing state)
Mark Smith, CPA Administrative proceeding
SEC · Nov 14, 2014 · Parties as named in the release: Mark Smith, CPA Read the release ↗
same full name in the release title; 35 people with this name in Form D filings; the person's filing state is not named
Charles E. Smith, CPA and Mark Smith, CPA Litigation release
SEC · Oct 31, 2014 · Parties as named in the release: Charles E. Smith, CPA and Mark Smith, CPA Read the release ↗
same full name in the release title; 35 people with this name in Form D filings; the person's filing state is not named
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 A. Smith..

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

15 cases: 15 closed (disposition not in docket feed)

Mark Smith and Debbie Smith closed
United States Bankruptcy Court, C.D. California · No. 6:24-bk-15928 · Filed Oct 3, 2024 · Closed Jan 14, 2025
Role of Mark Smith and Debbie Smith: Debtor · Outcome: Case closed 2025-01-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark Smith closed
United States Bankruptcy Court, N.D. California · No. 18-51964 · Filed Aug 30, 2018 · Closed Apr 16, 2019
Role of Mark Smith: Debtor · Outcome: Case closed 2019-04-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark Smith closed
United States Bankruptcy Court, N.D. California · No. 18-50530 · Filed Mar 12, 2018 · Closed Feb 18, 2019
Role of Mark Smith: Debtor · Outcome: Case closed 2019-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark R. Smith closed
United States Bankruptcy Court, C.D. California · No. 6:17-bk-13529 · Filed Apr 28, 2017 · Closed Feb 8, 2022
Role of Mark R. Smith: Debtor · Outcome: Case closed 2022-02-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark B Smith closed
United States Bankruptcy Court, C.D. California · No. 6:16-bk-21321 · Filed Dec 30, 2016 · Closed Apr 11, 2017
Role of Mark B Smith: Debtor · Outcome: Case closed 2017-04-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark Smith closed
United States Bankruptcy Court, N.D. California · No. 16-51102 · Filed Apr 13, 2016 · Closed Apr 9, 2018
Role of Mark Smith: Debtor · Outcome: Case closed 2018-04-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark A. Smith closed
United States Bankruptcy Court, E.D. California · No. 15-21066 · Filed Feb 12, 2015 · Closed Apr 6, 2015
Role of Mark A. Smith: Debtor · Outcome: Case closed 2015-04-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark Smith closed
United States Bankruptcy Court, E.D. California · No. 14-32066 · Filed Dec 12, 2014 · Closed Jan 12, 2015
Role of Mark Smith: Debtor · Outcome: Case closed 2015-01-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark Smith and Ammi Smith closed
United States Bankruptcy Court, C.D. California · No. 2:14-bk-31260 · Filed Nov 13, 2014 · Closed Feb 18, 2015
Role of Mark Smith and Ammi Smith: Debtor · Outcome: Case closed 2015-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark Smith closed
United States Bankruptcy Court, C.D. California · No. 6:13-bk-23388 · Filed Aug 6, 2013 · Closed Sep 19, 2013
Role of Mark Smith: Debtor · Outcome: Case closed 2013-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark Smith closed
United States Bankruptcy Court, C.D. California · No. 8:12-bk-11174 · Filed Jan 30, 2012 · Closed Aug 24, 2012
Role of Mark Smith: Debtor · Outcome: Case closed 2012-08-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark C Smith and Roberta M Smith closed
United States Bankruptcy Court, N.D. California · No. 11-13633 · Filed Sep 30, 2011 · Closed Jan 3, 2012
Role of Mark C Smith and Roberta M Smith: Debtor · Outcome: Case closed 2012-01-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark Smith closed
United States Bankruptcy Court, N.D. California · No. 11-13568 · Filed Sep 28, 2011 · Closed Dec 22, 2011
Role of Mark Smith: Debtor · Outcome: Case closed 2011-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA)
Mark S. Smith closed
United States Bankruptcy Court, E.D. California · No. 11-93084 · Filed Aug 30, 2011 · Closed Dec 23, 2011
Role of Mark S. Smith: Debtor · Outcome: Case closed 2011-12-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (CA); middle initial differs
Mark A Smith and Jacqueline A Smith closed
United States Bankruptcy Court, C.D. California · No. 6:11-bk-36809 · Filed Aug 22, 2011 · Closed Dec 22, 2011
Role of Mark A Smith and Jacqueline A Smith: Debtor · Outcome: Case closed 2011-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; 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, 2:21 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

10 differences found between the filings for Mark A. Smith — 2 worth asking about (compared 4 filings on Oct 24, 2026)

Worth asking · Jun 28, 2018 – Sep 21, 2018

Form D filed 85 days after the first sale — VistaGen Therapeutics, Inc.

The filing says the first sale was Jun 28, 2018. The Form D was filed Sep 21, 2018 — 85 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 70 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.

Form D · Sep 21, 2018 ↗VistaGen Therapeutics, Inc. — PartnerFacts page ↗
Sources
Worth asking · Mar 30, 2017 – Aug 22, 2017

Form D filed 145 days after the first sale — VistaGen Therapeutics, Inc.

The filing says the first sale was Mar 30, 2017. The Form D was filed Aug 22, 2017 — 145 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 130 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.

Form D · Aug 22, 2017 ↗VistaGen Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Oct 30, 2019 – Dec 12, 2019

Form D filed 43 days after the first sale — VistaGen Therapeutics, Inc.

The filing says the first sale was Oct 30, 2019. The Form D was filed Dec 12, 2019 — 43 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 28 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.

Form D · Dec 12, 2019 ↗VistaGen Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Jun 28, 2018 – Sep 21, 2018

No amendment in the last 12 months on an offering that may still be open — VistaGen Therapeutics, Inc. (latest filing Sep 21, 2018)

The latest filing for this offering is dated Sep 21, 2018 (first sale Jun 28, 2018). It reports $4,778,750 sold of $5,750,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Sep 21, 2018 ↗VistaGen Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Aug 22, 2017 – Jan 31, 2020

Industry group changed between filings — VistaGen Therapeutics, Inc.

"Biotechnology" (Aug 22, 2017 to Dec 12, 2019); then "Pharmaceuticals" (Jan 31, 2020).

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

Form D · Aug 22, 2017 ↗Form D · Jan 31, 2020 ↗VistaGen Therapeutics, Inc. — PartnerFacts page ↗
Sources
Note · Mar 20, 2009 – Nov 14, 2024

Same name, different state: "Mark A Smith" (NY or CO or A1 or A6 or IN) is a separate record

This page covers filings where the address state is CA. A separate record, "Mark A Smith" with address state NY or CO or A1 or A6 or IN, is listed on 119 filings — most recently by IBC Advanced Alloys Corp. (Mar 16, 2026). Both records have filings in the same period (Aug 22, 2017 to Jan 31, 2020).

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.

Mark A Smith (NY,CO,A1,A6,IN) — PartnerFacts page ↗Form D · Mar 16, 2026 ↗IBC Advanced Alloys Corp. — PartnerFacts page ↗Mark A. Smith (CA) — this page ↗
Sources
Note · Oct 22, 2009 – Nov 12, 2021

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

This page covers filings where the address state is CA. A separate record, "Mark Smith" with address state TX, is listed on 4 filings — most recently by Horizon OCH Partners, LLC (Nov 12, 2021). Both records have filings in the same period (Aug 22, 2017 to Jan 31, 2020).

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.

Mark Smith (TX) — PartnerFacts page ↗Form D · Nov 12, 2021 ↗Horizon OCH Partners, LLC — PartnerFacts page ↗Mark A. Smith (CA) — this page ↗
Sources
Note · Jan 30, 2015 – Jul 31, 2015

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

This page covers filings where the address state is CA. A separate record, "Mark Smith" with address state PA, is listed on 7 filings — most recently by Geospatial Corp (Jul 31, 2015). The two records do not overlap in time: this page runs Aug 22, 2017 to Jan 31, 2020; the other runs Jan 30, 2015 to Jul 31, 2015.

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.

Mark Smith (PA) — PartnerFacts page ↗Form D · Jul 31, 2015 ↗Geospatial Corp — PartnerFacts page ↗Mark A. Smith (CA) — this page ↗
Sources
Note · May 5, 2010

Same name, different state: "Mark Smith" (OK) is a separate record

This page covers filings where the address state is CA. A separate record, "Mark Smith" with address state OK, is listed on 1 filing — most recently by AHS PharmStat, L.L.C. (May 5, 2010). The two records do not overlap in time: this page runs Aug 22, 2017 to Jan 31, 2020; the other has one filing dated May 5, 2010.

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.

Mark Smith (OK) — PartnerFacts page ↗Form D · May 5, 2010 ↗AHS PharmStat, L.L.C. — PartnerFacts page ↗Mark A. Smith (CA) — this page ↗
Sources
Note · Sep 24, 2009

Same name, different state: "Mark Smith" (C3) is a separate record

This page covers filings where the address state is CA. A separate record, "Mark Smith" with address state C3, is listed on 1 filing — most recently by Sigma Pharmaceuticals Ltd (Sep 24, 2009). The two records do not overlap in time: this page runs Aug 22, 2017 to Jan 31, 2020; the other has one filing dated Sep 24, 2009.

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.

Mark Smith (C3) — PartnerFacts page ↗Form D · Sep 24, 2009 ↗Sigma Pharmaceuticals Ltd — PartnerFacts page ↗Mark A. Smith (CA) — this page ↗
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 4 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
Jan 31, 2020 D
VistaGen Therapeutics, Inc.
File 021-359548
$0$0$0None listed on this filingEDGAR ↗
Dec 12, 2019 D
VistaGen Therapeutics, Inc.
File 021-355353
$0$0$0None listed on this filingEDGAR ↗
Sep 21, 2018 D
VistaGen Therapeutics, Inc.
File 021-321921
$0$0$0None listed on this filingEDGAR ↗
Aug 22, 2017 D
VistaGen Therapeutics, Inc.
File 021-293292
$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 1

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

VT
Pharmaceuticals

VistaGen Therapeutics, Inc.

South San Francisco, CA · Aug 22, 2017 → Jan 31, 2020 · 4 filings
  • Jan 31, 2020 · D · $2,750,000 sold of $2,750,000 · 3 investors · min. $250,000 · role: Executive Officer EDGAR ↗
  • Dec 12, 2019 · D · $650,000 sold of $650,000 · 7 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Sep 21, 2018 · D · $4,778,750 sold of $5,750,000 · 33 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Aug 22, 2017 · D · $1,037,750 sold of $1,037,750 · 14 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $4.78M from 129 investors (100% of the $2.75M target) as of the latest filing. Mark is listed as executive officer on 4 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pharmaceuticals / 506(b) (800 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other pages with the same name (20)

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

  • Mark Smith — MA, 11 issuers, Dec 29, 2015 → Apr 29, 2025 · no shared issuer
  • Mark A Smith — NY, CO, British Columbia, Canada (as filed: A1), Ontario, Canada (as filed: A6), IN, 10 issuers, Mar 20, 2009 → Nov 14, 2024 · no shared issuer
  • Mark Smith — NY, FL, Alberta, Canada (as filed: A0), 10 issuers, Jul 16, 2015 → May 3, 2024 · no shared issuer
  • MARK EDWARD SMITH — MA, 8 issuers, Mar 3, 2010 → Dec 8, 2011 · no shared issuer
  • Mark Smith — SC, 6 issuers, Sep 10, 2010 → Feb 9, 2017 · no shared issuer
  • Mark Smith — TX, 4 issuers, Oct 22, 2009 → Nov 12, 2021 · no shared issuer
  • Mark Smith — CA, 3 issuers, May 14, 2010 → Nov 21, 2023 · no shared issuer
  • Mark C. Smith — NY, 3 issuers, Dec 15, 2017 → Oct 26, 2018 · no shared issuer
  • Mark V. Smith — GA, 2 issuers, Nov 10, 2010 → Jun 7, 2018 · no shared issuer
  • Mark Smith — CT, 2 issuers, Feb 10, 2011 → Sep 13, 2023 · no shared issuer
  • MARK SMITH — AK, 2 issuers, May 16, 2013 → Jan 27, 2023 · no shared issuer
  • Mark L. Smith — CO, 2 issuers, Jun 17, 2009 → Dec 15, 2022 · no shared issuer
  • MARK D. SMITH — NY, 2 issuers, Aug 4, 2016 → Jul 10, 2020 · no shared issuer
  • Mark Robert Smith — MT, 1 issuer, Aug 21, 2025 → Oct 14, 2025 · no shared issuer
  • Mark B Smith — TN, 1 issuer, Feb 19, 2021 → Oct 10, 2025 · no shared issuer
  • Mark Smith — PA, 1 issuer, Jan 30, 2015 → Jul 31, 2015 · no shared issuer
  • Mark Smith — Australia (as filed: C3), 1 issuer, Sep 24, 2009 → Sep 24, 2009 · no shared issuer
  • Mark Smith — OK, 1 issuer, May 5, 2010 → May 5, 2010 · no shared issuer
  • Mark Smith — MI, 1 issuer, Aug 17, 2012 → Aug 17, 2012 · no shared issuer
  • Mark L. Smith — IL, MO, 1 issuer, Aug 15, 2014 → Apr 14, 2015 · no shared issuer

People around Mark 8

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

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

Jon S. Saxe

Director · 4 shared filings (1 issuer) · also on 5 other issuers

Jon S. Saxe is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Shawn K. Singh

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

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

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

Jerrold D. Dotson

Executive Officer · 4 shared filings (1 issuer)

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

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

H. Ralph Snodgrass

Executive Officer, Director · 4 shared filings (1 issuer)

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

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

Brian J. Underdown

Director · 4 shared filings (1 issuer)

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

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

Jerry B. Gin

Director · 4 shared filings (1 issuer)

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

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

Mark McPartland

Executive Officer · 3 shared filings (1 issuer)

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

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

Ann K. Cunningham

Director · 2 shared filings (1 issuer)

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

Registrations and other filings

Adviser registration (Form ADV)

None of the 1 issuer 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 A. Smith 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 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Mark A. Smith is listed on: none on file. No website or social profile named in VistaGen Therapeutics, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #133,300 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 (South San Francisco, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

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