Max Effgen is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Oct 2012 and Nov 2016: SuperCritical Technologies, Inc. (Bremerton, WA — other energy — 2012–2016; $350K reported sold to 7 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 Brooke Macomber (2 shared filings), Chal Davidson (2 shared filings), John Fluke (2 shared filings), Nico Spitz (2 shared filings), Steve Wright (2 shared filings) and 4 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Max. Each name links to their own page.
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 2 public filings for Max Effgen and found 1 difference: No amendment in the last 12 months on an offering that may still be open.
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.