Mark N Polebaum is listed as an executive officer on 6 SEC Form D filings by 2 issuers between May 2014 and Jan 2017: MFS INSTITUTIONAL MONEY MARKET PORTFOLIO, A SERIES OF THE MFS SERIES TRUST XIV (Boston, MA — pooled investment fund — 2016–2017; $8.61B reported sold to 132 investors) and MFS Commodity Strategy Portfolio (Boston, MA — pooled investment fund — 2014–2017; $169.9M reported sold to 1 investors).
What this means 2 separate companies raised money with this person listed as executive officer, over about 3 years. Across those companies the filings report $8.78B sold in total.
All 2 issuers belong to the sponsor group Mfs (13 issuers, $7.7B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Mfs has 13 companies on file and $7.7B 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, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 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 6 public filings for Mark N Polebaum and found 3 differences, 3 worth asking the sponsor about: Amount sold went down between filings; Mark N Polebaum is no longer listed on the Jan 24, 2018 amendment; 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.