Michael F Herman is listed as a director on 5 SEC Form D filings by 2 issuers between Feb 2009 and Aug 2012: CellTech Metals Inc. (Searcy, AR — other technology — 2009; $3.15M reported sold to 9 investors) and FRONTERA INVESTMENT INC (Poway, CA — other banking and financial services — 2009–2012; $2.01M reported sold to 41 investors).
What this means 2 separate companies raised money with this person listed as director, over about 3 years. Across those companies the filings report $5.16M sold in total.
Listed alongside Allan C Youngberg (4 shared filings), Gilbert A Partida (4 shared filings), Alan S Lustigson (3 shared filings), Lawrence Cohen (3 shared filings), Mel I Katz (3 shared filings) and 6 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Michael. Each name links to their own page.
1 of the issuers belongs to the sponsor group Celltech (2 issuers, $1.18M reported sold, 2009–2024).
What this means A sponsor group is one team that sets up a new company for each deal. Celltech has 2 companies on file and $1.18M 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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 3 bankruptcy cases matching the name listed in Key records below.
What this means 3 records came back. 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 5 public filings for Michael F Herman and found 17 differences, 5 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; 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.