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 (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) — 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 15 differences, 7 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.