NICHOLAS D SMITH is listed as a promoter on 4 SEC Form D filings by 1 issuer between Nov 2012 and Jan 2014: MEDWAVE SOFTWARE SOLUTIONS, INC. (Sebastopol, CA — other technology — 2012–2014; $3.86M reported sold to 47 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 ARTHUR GRUEN (4 shared filings), DAN D SMITH (4 shared filings), JAMES BEYERS (4 shared filings), JAMES K GUDE (4 shared filings), JOHN B. STUPPIN (4 shared filings) and 1 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around NICHOLAS. Each name links to their own page.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 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 4 public filings for NICHOLAS D SMITH and found 9 differences: Form D filed 39 days after the first sale; Offering amount changed 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.