Sponsor Check › Person
Related person on Form D filings · address states as listed: CA, IL, TN · listed May 3, 2012 → Aug 13, 2021
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:57 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. 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.
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. — not yet searched; 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: not yet searched.
Not yet searched.
No SEC search has run yet for this person.
None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:57 PM ET.
State courts: not yet searched. 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.
Comparisons are made for sponsors and sponsor groups, not individual people.
3 of 10 offerings report sales commissions totalling $4,463,376; 1 reports finder's fees totalling $1,537,096; 1 reports proceeds to related persons totalling $10,000. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Aug 13, 2021 D/A File 021-402408 | $0 | $1,537,096 (est.) | $0 | Newbridge Securities Corporation BrokerCheck CRD 104065 ↗ via Newbridge Securities Corporation (CRD 104065 ↗) |
| EDGAR ↗ | May 14, 2021 D File 021-399461 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 8, 2020 D File 021-364522 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 5, 2019 D/A File 021-332805 | $1,750,000 (est.) | $0 | $0 | Lake Street Capital Markets, LLC BrokerCheck CRD 164447 ↗ via Newbridge Securities Corporation (CRD 104065 ↗) |
| EDGAR ↗ | May 22, 2018 D File 021-312944 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 28, 2017 D File 021-289651 | $1,958,221 | $0 | $0 | National Securities Corporation BrokerCheck CRD 7569 ↗ |
| EDGAR ↗ | Dec 30, 2016 D File 021-277423 | $755,155 | $0 | $0 | National Securities Corporation BrokerCheck CRD 7569 ↗ |
| EDGAR ↗ | Jan 15, 2015 D File 021-232341 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | May 3, 2012 D File 021-177672 | $0 | $0 | $0 (est.) | None listed on this filing |
| EDGAR ↗ | Oct 23, 2009 D File 021-135570 | $0 | $0 | $10,000 (est.) | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | Surface Ophthalmics, Inc. | Director | Aug 13, 2021 | D/A | $30,578,103 similar: $829,831–$9,999,998 | $25,129,840 | 444 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | Surface Ophthalmics, Inc. | Director | Jul 12, 2021 | D/A | $30,000,001 similar: $829,831–$9,999,998 | $22,251,636 | 391 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | Surface Ophthalmics, Inc. | Director | Jun 10, 2021 | D | $30,000,001 similar: $829,831–$9,999,998 | $5,755,365 | 93 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | HARROW HEALTH, INC. | Executive Officer | May 14, 2021 | D | $10,670,000 similar: $1,694,259–$16,000,000 | $10,670,000 | 1 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Eton Pharmaceuticals, Inc. | Director | Apr 8, 2020 | D | $7,500,000 similar: $1,694,259–$16,000,000 | $7,500,000 | 2 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Melt Pharmaceuticals, Inc. | Director | Apr 5, 2019 | D/A | $25,750,000 similar: $1,694,259–$16,000,000 | $11,435,000 | 165 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Melt Pharmaceuticals, Inc. | Director | Feb 13, 2019 | D | $25,750,000 similar: $1,694,259–$16,000,000 | $10,790,000 | 152 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Surface Ophthalmics, Inc. | Executive Officer, Director | May 22, 2018 | D | $19,999,999 similar: $1,694,259–$16,000,000 | $14,999,998 | 1 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Eton Pharmaceuticals, Inc. | Director | Jun 28, 2017 | D | $20,055,210 similar: $1,694,259–$16,000,000 | $20,055,210 | 230 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | HARROW HEALTH, INC. | Executive Officer, Director | Dec 30, 2016 | D | $10,068,740 similar: $1,694,259–$16,000,000 | $10,068,740 | 143 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | HARROW HEALTH, INC. | Executive Officer, Director | Jan 15, 2015 | D | $818,750 similar: $1,694,259–$16,000,000 | $500,000 | 2 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | HARROW HEALTH, INC. | Executive Officer, Director | May 3, 2012 | D | $7,946,180 | $7,946,180 | 118 | No minimum reported |
| EDGAR ↗ | Shrink Nanotechnologies, Inc. | Executive Officer, Director | Oct 23, 2009 | D | $345,000 | $345,000 | 17 | No minimum reported |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Health Care / 506(b) (4,189 filings); 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.
Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Mark Baum. Source: the EDGAR rows in the table above.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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