Nancy Ness is listed as an executive officer and director on 22 SEC Form D filings by 6 issuers between Oct 2009 and Feb 2020. Largest by amount reported sold: POPS! Diabetes Care, Inc. (Oak Park Heights, MN — other health care — 2016–2019; $5.92M reported sold to 57 investors), InterRad Medical, Inc. (Plymouth, MN — other health care — 2010–2020; $5.08M reported sold to 43 investors), AUM Cardiovascular, Inc. (Northfield, MN — other health care — 2011–2016; $5.01M reported sold to 24 investors), K Spine, Inc. (Minnetonka, MN — other health care — 2010–2011; $2.51M reported sold to 2 investors), Lumen Biomedical Inc (Maple Grove, MN — other health care — 2009; $675K reported sold to 9 investors) and 1 more (all listed below).
What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer and director, over about 11 years. Across those companies the filings report $19.4M sold in total.
1 of the issuers belongs to the sponsor group Lumen (2 issuers, $1.17M reported sold, 2009–2025).
What this means A sponsor group is one team that sets up a new company for each deal. Lumen has 2 companies on file and $1.17M 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) — 4 bankruptcy cases matching the name listed in Key records below.
What this means 4 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 22 public filings for Nancy Ness and found 13 differences, 6 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.