Mark Austin is listed as a director on 2 SEC Form D filings by 1 issuer between Sep 2014 and Sep 2015: Record Umbrella Fund (Dublin, Ireland (as filed: L2) — pooled investment fund — 2014–2015; $2.73M reported sold to 8 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 David Conway (2 shared filings), Gavin Caldwell (2 shared filings), Gerald Brady (2 shared filings), Meliosa O'Caoimh (2 shared filings), Nick Gilbert (2 shared filings) 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.
The issuer belongs to the sponsor group Ssg (3 issuers, $94.6M reported sold, 2012–2020).
What this means A sponsor group is one team that sets up a new company for each deal. Ssg has 3 companies on file and $94.6M 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 (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 2 public filings for Mark Austin and found 7 differences, 3 worth asking the sponsor about: Form D filed 1,064 days after the first sale; Form D filed 699 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.