Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:51 AM ET

Sponsor Check › Person

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Mark A Spates

Named as an officer, director or promoter on SEC Form D filings · TX · Jul 16, 2020 → Jul 16, 2020

2deals (issuers)

$28.8Mreported sold

14investors

2Form D filings

2020year on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:06 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 Spates is listed as an executive officer and director on 2 SEC Form D filings by 2 issuers between Oct 2016 and Jul 2020: Quatris Health Holdings, LLC (New York, NY — industry reported as "Other" — 2016; $24.2M reported sold to 3 investors) and YSCP Fund I, L.P. (Justin, TX — pooled investment fund — 2020; $4.56M reported sold to 11 investors).

What this means 2 separate companies raised money with this person listed as executive officer and director, over about 4 years. Across those companies the filings report $28.8M sold in total.

Listed alongside Bob Tamashunas (1 shared filing), Jim Collis (1 shared filing), Peter Baichtal (1 shared filing), Peter Bauerlein (1 shared filing), Scott McCormack (1 shared filing) and 2 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.

All 2 issuers belong to the sponsor group Quatris (2 issuers, $28.8M reported sold, 2016–2020).

What this means A sponsor group is one team that sets up a new company for each deal. Quatris has 2 companies on file and $28.8M reported sold in total — the group page shows the whole track record in one place.

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) — 21 court cases matching the name, 11 bankruptcy cases matching the name listed in Key records below.

What this means 32 records came back, including 6 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 Mark A Spates and found 5 differences: Form D filed 59 days after the first sale; Form D filed 42 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 Spates has not run yet — it is joining a line of 62,278 names; searches run around the clock at the hosts' allowed rate. Searched so far: 732 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

21 cases: 6 open, 6 closed (disposition not in docket feed), 8 dismissed, 1 judgment

Spates v. Trans Union, LLC open

District Court, N.D. Illinois · No. 1:26-cv-08547 · Filed Jul 20, 2026

Role of Spates: 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, 65 federal dockets); surname only in the caption; court in IL (not a filing state)

Spates v. Equifax Information Services LLC open

District Court, N.D. Texas · No. 3:26-cv-02257 · Filed Jul 8, 2026

Role of Spates: 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, 65 federal dockets); surname only in the caption; court in the person's filing state (TX)

Spates v. Trans Union, LLC open

District Court, M.D. Florida · No. 3:26-cv-00160 · Filed Jan 27, 2026

Role of Spates: 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, 65 federal dockets); surname only in the caption; court in FL (not a filing state)

Spates v. Trans Union LLC closed

District Court, N.D. Georgia · No. 1:22-cv-02804 · Filed Jul 18, 2022 · Closed Dec 20, 2022

Role of Spates: Plaintiff · Outcome: Terminated 2022-12-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in GA (not a filing state)

Spates v. Uber Technologies Inc. open

District Court, S.D. New York · No. 1:21-cv-10155 · Filed Nov 30, 2021 · Nature of suit: 370 Other Fraud · Cause: 28:1332fr Diversity-Fraud

Role of Spates: 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, 65 federal dockets); surname only in the caption; court in the person's filing state (NY)

SPATES v. JOHNSON & JOHNSON, INC open

District Court, D. New Jersey · No. 3:21-cv-02847 · Filed Feb 18, 2021

Role of SPATES: 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, 65 federal dockets); surname only in the caption; court in NJ (not a filing state)

Spates v. Carter-Young, Inc. dismissed

District Court, N.D. Ohio · No. 1:20-cv-00181 · Filed Jan 27, 2020 · Closed Dec 31, 2020 · Nature of suit: 480 Consumer Credit · Cause: 15:1692 Fair Debt Collection Act

Role of Spates: Plaintiff · Outcome: Terminated 2020-12-31 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in OH (not a filing state)

SPATES v. BAYER CORPORATION dismissed

District Court, D. New Jersey · No. 2:19-cv-15709 · Filed Jul 23, 2019 · Closed Apr 7, 2020 · Nature of suit: 367 Health care / pharm

Role of SPATES: Plaintiff · Outcome: Terminated 2020-04-07 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in NJ (not a filing state)

SPATES v. ABBOTT LABORATORIES open

District Court, D. New Jersey · No. 2:19-cv-04323 · Filed Jan 31, 2019 · Nature of suit: 367 Health care / pharm

Role of SPATES: 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, 65 federal dockets); surname only in the caption; court in NJ (not a filing state)

Spates v. Sanofi US Services Inc. dismissed

District Court, E.D. Louisiana · No. 2:18-cv-12728 · Filed Dec 7, 2018 · Closed Jan 9, 2020 · Nature of suit: 367 Health care / pharm

Role of Spates: Plaintiff · Outcome: Terminated 2020-01-09 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in LA (not a filing state)

1163 West Peachtree Street Apartments Investors LLC v. Spates closed

District Court, N.D. Georgia · No. 1:18-cv-05128 · Filed Nov 7, 2018 · Closed Dec 4, 2018 · Nature of suit: 230 Rent, lease, ejectment

Role of Spates: Defendant · Outcome: Terminated 2018-12-04 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in GA (not a filing state)

Global Environmental Engineering, Inc. v. Spates dismissed

District Court, E.D. Michigan · No. 2:17-cv-10716 · Filed Mar 7, 2017 · Closed Mar 18, 2019 · Nature of suit: Negotiable Instrument · Cause: 28:1332 Diversity-Negotiable Instrument

Role of Spates: Defendant · Outcome: Terminated 2019-03-18 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in MI (not a filing state)

Spates v. Janssen Research & Development LLC dismissed

District Court, E.D. Louisiana · No. 2:16-cv-05602 · Filed May 12, 2016 · Closed Nov 17, 2016 · Nature of suit: 367 Health care / pharm

Role of Spates: Plaintiff · Outcome: Terminated 2016-11-17 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in LA (not a filing state)

Spates v. Janssen Research & Development LLC closed

District Court, E.D. Louisiana · No. 2:16-cv-04776 · Filed May 10, 2016 · Closed Jul 25, 2022 · Nature of suit: 367 Health care / pharm

Role of Spates: Plaintiff · Outcome: Terminated 2022-07-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in LA (not a filing state)

Spates v. Fresenius Medical Care Holdings, Inc. dismissed

District Court, D. Massachusetts · No. 1:14-cv-13965 · Filed Oct 22, 2014 · Closed Dec 18, 2018 · Nature of suit: 367 Health care / pharm

Role of Spates: Plaintiff · Outcome: Terminated 2018-12-18 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in MA (not a filing state)

Deutsche Bank National Trust Company v. Spates closed

District Court, N.D. Ohio · No. 1:07-cv-01777 · Filed Jun 15, 2007 · Closed Sep 19, 2007 · Nature of suit: 220 Foreclosure · Cause: 28:1332 Diversity-(Citizenship)

Role of Spates: Defendant · Outcome: Terminated 2007-09-19 — FJC Integrated Database disposition: Stayed pending bankruptcy Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in OH (not a filing state)

Deutsche Bank National Trust Company v. Spates closed

District Court, N.D. Ohio · No. 1:07-cv-01737 · Filed Jun 12, 2007 · Closed Aug 20, 2007 · Nature of suit: 220 Foreclosure

Role of Spates: Defendant · Outcome: Terminated 2007-08-20 — FJC Integrated Database disposition: Stayed pending bankruptcy Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in OH (not a filing state)

DEUTSCHE BANK NATIONAL TRUST C v. SPATES closed

District Court, N.D. Ohio · No. · Filed Apr 18, 2006 · Closed May 30, 2006 · Nature of suit: 220 Foreclosure

Role of SPATES: Defendant · Outcome: Terminated 2006-05-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in OH (not a filing state)

Deutsche Bank National Trust Company v. Spates judgment

District Court, N.D. Ohio · No. 1:06-cv-00934 · Filed Apr 18, 2006 · Closed Dec 1, 2006 · Nature of suit: 220 Foreclosure

Role of Spates: Defendant · Outcome: Terminated 2006-12-01 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in OH (not a filing state)

Barnet Town Sch Dist v. Spates Constr Inc dismissed

District Court, D. Vermont · No. 1:00-cv-00260 · Filed Jul 21, 2000 · Closed Dec 18, 2001 · Nature of suit: 130 Miller act

Role of Spates Constr Inc: Defendant · Outcome: Terminated 2001-12-18 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in VT (not a filing state)

SPATES v. PRUDENTIAL INS CO dismissed

District Court, C.D. California · No. · Filed Feb 24, 1989 · Closed May 19, 1989 · Nature of suit: 791 Employee Retirement Income Security Act

Role of SPATES: Plaintiff · Outcome: Terminated 1989-05-19 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in CA (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, 3:06 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Mark A Spates..

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

11 cases: 11 closed (disposition not in docket feed)

SPATES EXCAVATION AND EQUIPMENT RENTAL closed

United States Bankruptcy Court, C.D. California · No. 9:17-bk-12138 · Filed Nov 27, 2017 · Closed Mar 5, 2018

Role of SPATES EXCAVATION AND EQUIPMENT RENTAL: Debtor · Outcome: Case closed 2018-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in CA (not a filing state)

77-79 Rivington Street Realty LLC v. Spates closed

United States Bankruptcy Court, S.D. New York · No. 15-01034 · Filed Feb 10, 2015 · Closed Dec 27, 2018

Role of Spates: Defendant · Outcome: Case closed 2018-12-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in the person's filing state (NY)

Spates v. CitiFinancial, Inc. closed

United States Bankruptcy Court, E.D. Wisconsin · No. 14-02549 · Filed Oct 10, 2014 · Closed Nov 6, 2014

Role of Spates: Plaintiff · Outcome: Case closed 2014-11-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in WI (not a filing state)

1st Franklin Financial Corporation v. Spates closed

United States Bankruptcy Court, N.D. Mississippi · No. 14-01052 · Filed Jun 27, 2014 · Closed Dec 22, 2014

Role of Spates: Defendant · Outcome: Case closed 2014-12-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in MS (not a filing state)

Spates Excavation & Equipment Rental closed

United States Bankruptcy Court, C.D. California · No. 1:12-bk-13138 · Filed Apr 3, 2012 · Closed Aug 5, 2014

Role of Spates Excavation & Equipment Rental: Debtor · Outcome: Case closed 2014-08-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in CA (not a filing state)

Mark D. Spates and Valerie T. Spates closed

United States Bankruptcy Court, W.D. Wisconsin · No. 3-09-14433 · Filed Jul 2, 2009 · Closed Oct 10, 2012

Role of Mark D. Spates and Valerie T. Spates: Debtor · Outcome: Case closed 2012-10-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); first name matches; court in WI (not a filing state); middle initial differs

Chase Bank USA, N.A. v. Spates closed

United States Bankruptcy Court, N.D. Alabama · No. 08-40010 · Filed Jan 29, 2008 · Closed Jan 30, 2008

Role of Spates: Defendant · Outcome: Case closed 2008-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in AL (not a filing state)

Mark Spates and Valerie Spates closed

United States Bankruptcy Court, N.D. Illinois · No. 03-06051 · Filed Feb 10, 2003 · Closed Jun 9, 2003

Role of Mark Spates and Valerie Spates: Debtor · Outcome: Case closed 2003-06-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); first name matches; court in IL (not a filing state); middle initial differs

Certified Public Accountants Inc v. Spates closed

United States Bankruptcy Court, C.D. California · No. 6:95-ap-01245 · Filed May 12, 1995 · Closed Apr 23, 1997

Role of Spates: Defendant · Outcome: Case closed 1997-04-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in CA (not a filing state)

SPATES v. NEW USED CARS, INC. closed

United States Bankruptcy Court, N.D. Alabama · No. 91-00280 · Filed Jul 24, 1991 · Closed Aug 12, 1991

Role of SPATES: Plaintiff · Outcome: Case closed 1991-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in AL (not a filing state)

Spates Construction Inc closed

United States Bankruptcy Court, M.D. Florida · No. 8:86-bk-01225 · Filed Apr 2, 1986 · Closed Nov 5, 1987

Role of Spates Construction Inc: Debtor · Outcome: Case closed 1987-11-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (2 people in Form D filings, 65 federal dockets); surname only in the caption; court in FL (not a filing state)

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, 3:06 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.

4. Differences between public sources

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

5 differences found between the filings for Mark A Spates (compared 2 filings on Oct 24, 2026)

Note · May 18, 2020 – Jul 16, 2020

Form D filed 59 days after the first sale — YSCP Fund I, L.P.

The filing says the first sale was May 18, 2020. The Form D was filed Jul 16, 2020 — 59 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 44 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 · Jul 16, 2020 ↗YSCP Fund I, L.P. — PartnerFacts page ↗

Sources

Form D · Jul 16, 2020 ↗ (Jul 16, 2020)
YSCP Fund I, L.P. — PartnerFacts page ↗ (Jul 16, 2020)

Note · Aug 23, 2016 – Oct 4, 2016

Form D filed 42 days after the first sale — Quatris Health Holdings, LLC

The filing says the first sale was Aug 23, 2016. The Form D was filed Oct 4, 2016 — 42 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 27 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 · Oct 4, 2016 ↗Quatris Health Holdings, LLC — PartnerFacts page ↗

Sources

Form D · Oct 4, 2016 ↗ (Oct 4, 2016)
Quatris Health Holdings, LLC — PartnerFacts page ↗ (Oct 4, 2016)

Note · May 18, 2020 – Jul 16, 2020

No amendment in the last 12 months on an offering that may still be open — YSCP Fund I, L.P. (latest filing Jul 16, 2020)

The latest filing for this offering is dated Jul 16, 2020 (first sale May 18, 2020). It reports $4,561,250 sold of an indefinite amount 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 · Jul 16, 2020 ↗YSCP Fund I, L.P. — PartnerFacts page ↗

Sources

Form D · Jul 16, 2020 ↗ (Jul 16, 2020)
YSCP Fund I, L.P. — PartnerFacts page ↗ (Jul 16, 2020)

Note · Aug 23, 2016 – Oct 4, 2016

No amendment in the last 12 months on an offering that may still be open — Quatris Health Holdings, LLC (latest filing Oct 4, 2016)

The latest filing for this offering is dated Oct 4, 2016 (first sale Aug 23, 2016). It reports $24,192,000 sold of an indefinite amount offered. No later amendment is in our index as of Oct 24, 2026.

Form D · Oct 4, 2016 ↗Quatris Health Holdings, LLC — PartnerFacts page ↗

Sources

Form D · Oct 4, 2016 ↗ (Oct 4, 2016)
Quatris Health Holdings, LLC — PartnerFacts page ↗ (Oct 4, 2016)

Note · Oct 4, 2016 – Jul 16, 2020

Mark A Spates is written 2 different ways on the filings

listed as "Mark Spates" on the Oct 4, 2016 filing, and "Mark A Spates" on the Jul 16, 2020 filing.

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Oct 4, 2016 ↗Form D · Jul 16, 2020 ↗Mark A Spates — PartnerFacts 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

1 of 2 offerings reports sales commissions totalling $108,500; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jul 16, 2020 D YSCP Fund I, L.P. File 021-371235	$108,500	$0	$0	Great Point Capital Advisors BrokerCheck CRD 114203 ↗	EDGAR ↗
Oct 4, 2016 D Quatris Health Holdings, LLC File 021-271799	$0	$0	$0	None listed on this filing	EDGAR ↗

How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 2

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

Pooled Investment Fund · group: Quatris

YSCP Fund I, L.P.

Justin, TX · Jul 16, 2020

Jul 16, 2020 · D · $4,561,250 sold of Indefinite · 11 investors · min. $25,000 · role: Executive Officer, Director EDGAR ↗

Raised $4.56M from 11 investors as of the latest filing. Mark is listed as executive officer, director.

Latest filing on EDGAR ↗

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other · group: Quatris

Quatris Health Holdings, LLC

New York, NY · Oct 4, 2016

Oct 4, 2016 · D · $24,192,000 sold of Indefinite · 3 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $24.2M from 3 investors as of the latest filing. Mark is listed as director.

Latest filing on EDGAR ↗

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: 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.

People around Mark 7

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

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

Person

Scott McCormack

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

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

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

Person

Peter Baichtal

Director · 1 shared filing (1 issuer)

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

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

Person

Tom Behringer

Director · 1 shared filing (1 issuer)

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

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

Person

Peter Bauerlein

Director · 1 shared filing (1 issuer)

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

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

Person

Jim Collis

Director · 1 shared filing (1 issuer)

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

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

Person

Bob Tamashunas

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

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

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

Person

William Christopher Yount

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

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

The team behind the deals

Sponsor group

Quatris

2 issuers · 2 filings · $28.8M reported sold · 2016–2020

YF YSCP Fund I, L.P. Pooled Investment Fund · $4.56M sold · 2020 · listed
QH Quatris Health Holdings, LLC Other · $24.2M sold · 2016 · listed

One team, 2 deal companies. Mark A Spates is listed on 2 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Mark A Spates.

Same business address

1 other issuer file from the same address

Seaport SCDC Investors, L.P. New York, NY · 2011

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 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 Mark A Spates 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 Mark A Spates is listed on: none on file. No website or social profile named in Quatris Health Holdings, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #281,624 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

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Mark A Spates

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Form D filed 59 days after the first sale — YSCP Fund I, L.P.

Form D filed 42 days after the first sale — Quatris Health Holdings, LLC

No amendment in the last 12 months on an offering that may still be open — YSCP Fund I, L.P. (latest filing Jul 16, 2020)

No amendment in the last 12 months on an offering that may still be open — Quatris Health Holdings, LLC (latest filing Oct 4, 2016)

Mark A Spates is written 2 different ways on the filings

5. Money to insiders

Deals 2

People around Mark 7

The team behind the deals

1 other issuer file from the same address

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

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