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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 1:49 AM ET

Sponsor Check › Person

Patrick Walters

Related person on Form D filings · address state as listed: CA · listed Dec 18, 2009 → Apr 11, 2025

2issuers
11Form D filings
2009–2025years listed

Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:57 PM ET · SEC enforcement last checked: not yet

Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.

Key records

The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.

1. Lawsuits

None found in sources searched.

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:57 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.

Not yet searched.

No SEC search has run yet for this person.

3. Bankruptcies

None found in sources searched.

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:57 PM ET.

State courts: not yet searched. No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons are made for sponsors and sponsor groups, not individual people.

5. Money to insiders and sales commissions

1 of 10 offerings reports sales commissions totalling $300,000; 0 report finder's fees; 1 reports proceeds to related persons totalling $400,000. (includes amounts the issuer reported as estimates)

SourceOffering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell it
EDGAR ↗Apr 11, 2025 D
File 021-543527
$0$0$0None listed on this filing
EDGAR ↗Mar 24, 2025 D
File 021-541907
$300,000$0$0None listed on this filing
EDGAR ↗Oct 28, 2024 D
File 021-527952
$0$0$0None listed on this filing
EDGAR ↗Jul 5, 2023 D
File 021-485918
$0$0$0None listed on this filing
EDGAR ↗Feb 24, 2022 D
File 021-434823
$0$0$0None listed on this filing
EDGAR ↗Jun 8, 2017 D/A
File 021-287857
$0$0$400,000 (est.)
Salaries
None listed on this filing
EDGAR ↗Feb 22, 2013 D
File 021-192288
$0$0$0None listed on this filing
EDGAR ↗Aug 13, 2012 D
File 021-182609
$0$0$0None listed on this filing
EDGAR ↗Dec 27, 2010 D
File 021-152530
$0$0$0None listed on this filing
EDGAR ↗Dec 18, 2009 D
File 021-137011
$0$0$0None listed on this filing

As reported by the issuer on Form D (Items 12–15), latest filing per offering (one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Appears on these filings

SourceIssuerRoleFiledFormOfferingSoldInvestorsMin. investment
EDGAR ↗NEONC TECHNOLOGIES HOLDINGS, INC.Executive OfficerApr 11, 2025D$2,000,000
similar: $2,000,000–$19,999,994
$1,644,0007
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗NEONC TECHNOLOGIES HOLDINGS, INC.Executive OfficerMar 24, 2025D$10,000,000
similar: $2,000,000–$19,999,994
$9,999,98413
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗NEONC TECHNOLOGIES HOLDINGS, INC.Executive OfficerOct 28, 2024D$18,688,064
similar: $2,000,000–$19,999,994
$18,341,33232
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗NEONC TECHNOLOGIES HOLDINGS, INC.Executive OfficerJul 5, 2023D$80,000,000
similar: $2,000,000–$19,999,994
$80,000,00067
similar: 2–16
No minimum reported
similar: $10,000–$50,000
EDGAR ↗NEONC TECHNOLOGIES, INC.Executive Officer, DirectorFeb 24, 2022D$2,000,000
similar: $1,100,015–$10,001,163
$50,0001
similar: 2–14
$25,000
similar: $5,000–$50,000
EDGAR ↗NEONC TECHNOLOGIES, INC.Executive Officer, DirectorJun 8, 2017D/A$20,000,000
similar: $1,694,259–$16,000,000
$00
similar: 1–13
$25,000
similar: $10,000–$55,000
EDGAR ↗NEONC TECHNOLOGIES, INC.Executive Officer, DirectorJun 1, 2017D$20,000,000
similar: $1,694,259–$16,000,000
$00
similar: 1–13
$100,000
similar: $10,000–$55,000
EDGAR ↗NEONC TECHNOLOGIES, INC.Executive OfficerFeb 22, 2013D$5,000,000$24,7501$24,750
EDGAR ↗NEONC TECHNOLOGIES, INC.Executive OfficerAug 13, 2012D$150,000$150,0006$1,000
EDGAR ↗NEONC TECHNOLOGIES, INC.Executive OfficerDec 27, 2010D$78,500$78,5007$1,250
EDGAR ↗NEONC TECHNOLOGIES, INC.Executive OfficerDec 18, 2009D$90,500$90,50014No minimum reported

Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); Other Technology / 506(b) (17,390 filings); Pharmaceuticals / 506(b) (800 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other listings under the same name

Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.

  • PATRICK R. WALTERS — address state WI, 1 issuer, Aug 6, 2021 → Apr 5, 2024 · no shared issuer found

Connections as of Oct 23, 2026, 5:45 PM ET

Listed alongside — 27 names on the same filings (0 management entities, 27 people)

People and management entities the issuers listed as related persons on the same Form D filings as Patrick Walters. Source: the EDGAR rows in the table above.

  • THOMAS C CHEN — 5 shared filings (2 issuers) · roles as listed: Executive Officer, Director
  • Thomas Chen — 4 shared filings (1 issuer) · roles as listed: Executive Officer, Director · also listed on 4 other issuers
  • KEITHLY GARNETT — 4 shared filings (1 issuer) · roles as listed: Executive Officer, Director
  • AMIR HESHMATPOUR — 4 shared filings (1 issuer) · roles as listed: Executive Officer, Director · also listed on 3 other issuers
  • Alan Chiang — 4 shared filings (2 issuers) · role as listed: Director
  • Matthew Lin — 3 shared filings (1 issuer) · role as listed: Director
  • Jim Walters — 3 shared filings (1 issuer) · roles as listed: Executive Officer, Director
  • Marc Giroux — 2 shared filings (1 issuer) · role as listed: Director
  • Clovis Da Fonseca — 2 shared filings (1 issuer) · role as listed: Director
  • James Walters — 2 shared filings (1 issuer) · role as listed: Director · also listed on 1 other issuer
  • Danny Levin — 2 shared filings (1 issuer) · role as listed: Director
  • Floyd Loop — 2 shared filings (1 issuer) · role as listed: Director
  • Vincent Simmon — 2 shared filings (1 issuer) · role as listed: Executive Officer · also listed on 1 other issuer
  • Vicki Shih — 2 shared filings (1 issuer) · role as listed: Director
  • Clovis Orlando da Fonseca — 2 shared filings (1 issuer) · role as listed: Director
  • Jim Delshad — 1 shared filing (1 issuer) · role as listed: Director
  • Bader Almonawer — 1 shared filing (1 issuer) · role as listed: Director
  • Steven Giannotta — 1 shared filing (1 issuer) · role as listed: Director
  • Victoria Medvec — 1 shared filing (1 issuer) · role as listed: Director
  • Ming-Fu (Alan) Chiang — 1 shared filing (1 issuer) · role as listed: Director
  • Josh Shachar — 1 shared filing (1 issuer) · role as listed: Director · also listed on 5 other issuers
  • Daniel Saks — 1 shared filing (1 issuer) · role as listed: Executive Officer · also listed on 2 other issuers
  • Eytan Lombroso — 1 shared filing (1 issuer) · roles as listed: Executive Officer, Director · also listed on 1 other issuer
  • Paul Reep — 1 shared filing (1 issuer) · role as listed: Executive Officer · also listed on 1 other issuer
  • Frank Adell — 1 shared filing (1 issuer) · role as listed: Director · also listed on 5 other issuers
  • Eytan Lambroso — 1 shared filing (1 issuer) · roles as listed: Executive Officer, Director
  • Clovis Fonseca — 1 shared filing (1 issuer) · role as listed: Director

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources searched: SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 · Last checked Oct 23, 2026, 8:41 PM ET.

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