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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:05 AM ET

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PJ
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Peter James

Named as an officer, director or promoter on SEC Form D filings · Australia (as filed: C3) · Apr 14, 2016 → Feb 20, 2025

3deals (issuers)
$23.2Mreported sold
23investors
14Form D filings
2016–2025years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:36 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Peter James is listed as a director on 14 SEC Form D filings by 3 issuers between Apr 2016 and Feb 2025: DroneShield Ltd (Lane Cove West, Australia (as filed: C3) — other technology — 2016–2025; $22M reported sold to 9 investors), UUV Aquabotix Ltd (Sydney, Australia (as filed: C3) — other technology — 2017–2018; $1.14M reported sold to 12 investors) and Koligo Therapeutics Ltd (Sydney, Australia (as filed: C3) — biotechnology — 2019; $38K reported sold to 2 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as director, over about 9 years. Across those companies the filings report $23.2M sold in total.

Listed alongside Oleg Vornik (11 shared filings), Bergen Asset Management, LLC (10 shared filings, management entity), Droneshield LLC (10 shared filings, management entity), Eugene Tablis (10 shared filings), Samantha Ravich (9 shared filings) and 18 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Peter. Each name links to their own page.

The issuers belong to 2 sponsor groups: Lind (14 issuers, $212.9M reported sold, 2009–2026) and Koligo Therapeutics (2 issuers, $1.68M reported sold, 2017–2020).

What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 2 court cases matching the name, 24 bankruptcy cases matching the name listed in Key records below.

What this means 26 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 14 public filings for Peter James and found 12 differences, 2 worth asking the sponsor about: 4 filings report more than 10% of the money raised going to insiders; Form D filed 3,246 days after the first sale; 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.

What the community is saying

Community search for Peter James has not run yet — it is joining a line of 46,663 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

2 cases: 2 closed (disposition not in docket feed)

United States v. JAMES, PETER MICHAEL WILLIAM closed
District Court, Virgin Islands · No. 3:97-cr-00161 · Filed Nov 25, 1997 · Closed Feb 28, 2020
Role of JAMES, PETER MICHAEL WILLIAM: Defendant · Outcome: Terminated 2020-02-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in VI (not a filing state); criminal docket
United States v. JAMES, PETER MICHAEL WILLIAM closed
District Court, Virgin Islands · No. 3:97-cr-00161 · Filed Nov 25, 1997 · Closed Feb 28, 2020 · Nature of suit: 890 Other statutory actions
Role of JAMES, PETER MICHAEL WILLIAM: Defendant · Outcome: Terminated 2020-02-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in VI (not a filing state); criminal docket
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:36 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

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. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Peter James..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

24 cases: 24 closed (disposition not in docket feed)

Peter C James III closed
United States Bankruptcy Court, D. New Jersey · No. 17-31239 · Filed Oct 19, 2017 · Closed Feb 3, 2020
Role of Peter C James III: Debtor · Outcome: Case closed 2020-02-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in NJ (not a filing state)
Peter W James closed
United States Bankruptcy Court, M.D. Florida · No. 8:16-bk-03435 · Filed Apr 22, 2016 · Closed Mar 3, 2017
Role of Peter W James: Debtor · Outcome: Case closed 2017-03-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in FL (not a filing state)
Peter W. James closed
United States Bankruptcy Court, M.D. Florida · No. 8:15-bk-05785 · Filed Jun 2, 2015 · Closed Nov 30, 2015
Role of Peter W. James: Debtor · Outcome: Case closed 2015-11-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in FL (not a filing state)
Peter James closed
United States Bankruptcy Court, S.D. Iowa · No. 15-00640 · Filed Mar 31, 2015 · Closed Jun 23, 2015
Role of Peter James: Debtor · Outcome: Case closed 2015-06-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in IA (not a filing state)
Peter A. James closed
United States Bankruptcy Court, E.D. Michigan · No. 14-30730 · Filed Mar 18, 2014 · Closed Jun 27, 2014
Role of Peter A. James: Debtor · Outcome: Case closed 2014-06-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in MI (not a filing state)
Peter A James closed
United States Bankruptcy Court, W.D. Washington · No. 13-10596 · Filed Jan 24, 2013 · Closed May 9, 2013
Role of Peter A James: Debtor · Outcome: Case closed 2013-05-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in WA (not a filing state)
Peter M James closed
United States Bankruptcy Court, M.D. Florida · No. 8:11-bk-21293 · Filed Nov 17, 2011 · Closed Feb 23, 2012
Role of Peter M James: Debtor · Outcome: Case closed 2012-02-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in FL (not a filing state)
PETER JAMES and MYRA R JAMES closed
United States Bankruptcy Court, C.D. California · No. 1:10-bk-24196 · Filed Nov 9, 2010 · Closed Mar 31, 2011
Role of PETER JAMES and MYRA R JAMES: Debtor · Outcome: Case closed 2011-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in CA (not a filing state)
Peter C James closed
United States Bankruptcy Court, S.D. Florida. · No. 09-27171 · Filed Aug 18, 2009 · Closed Dec 18, 2009
Role of Peter C James: Debtor · Outcome: Case closed 2009-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in FL (not a filing state)
Peter James closed
United States Bankruptcy Court, C.D. California · No. 2:09-bk-16894 · Filed Mar 25, 2009 · Closed Jan 21, 2010
Role of Peter James: Debtor · Outcome: Case closed 2010-01-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in CA (not a filing state)
Peter S. James closed
United States Bankruptcy Court, D. Massachusetts · No. 07-17312 · Filed Nov 14, 2007 · Closed Feb 19, 2008
Role of Peter S. James: Debtor · Outcome: Case closed 2008-02-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in MA (not a filing state)
Peter M. James closed
United States Bankruptcy Court, N.D. California · No. 05-54153 · Filed Jul 7, 2005 · Closed Oct 11, 2005
Role of Peter M. James: Debtor · Outcome: Case closed 2005-10-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in CA (not a filing state)
Peter M. James and Kelly B. James closed
United States Bankruptcy Court, D. Oregon · No. 02-31494 · Filed Feb 15, 2002 · Closed May 23, 2002
Role of Peter M. James and Kelly B. James: Debtor · Outcome: Case closed 2002-05-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in OR (not a filing state)
Peter A. James closed
United States Bankruptcy Court, D. Massachusetts · No. 01-18690 · Filed Nov 15, 2001 · Closed Mar 6, 2002
Role of Peter A. James: Debtor · Outcome: Case closed 2002-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in MA (not a filing state)
Peter James closed
United States Bankruptcy Court, D. Maryland · No. 00-20604 · Filed Oct 4, 2000 · Closed Jan 18, 2001
Role of Peter James: Debtor · Outcome: Case closed 2001-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in MD (not a filing state)
Peter G. James closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 00-10738 · Filed Apr 28, 2000 · Closed Aug 18, 2000
Role of Peter G. James: Debtor · Outcome: Case closed 2000-08-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in PA (not a filing state)
Peter James closed
United States Bankruptcy Court, C.D. California · No. 1:00-bk-10479 · Filed Jan 18, 2000 · Closed Jul 19, 2001
Role of Peter James: Debtor · Outcome: Case closed 2001-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in CA (not a filing state)
Peter M. James and Deshanda James closed
United States Bankruptcy Court, W.D. Louisiana · No. 98-52417 · Filed Dec 9, 1998 · Closed Feb 11, 2000
Role of Peter M. James and Deshanda James: Debtor · Outcome: Case closed 2000-02-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in LA (not a filing state)
Peter James and Deshanda James closed
United States Bankruptcy Court, W.D. Louisiana · No. 94-50801 · Filed Aug 25, 1994 · Closed Mar 6, 1995
Role of Peter James and Deshanda James: Debtor · Outcome: Case closed 1995-03-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in LA (not a filing state)
Peter E James closed
United States Bankruptcy Court, N.D. Illinois · No. 92-00803 · Filed Jan 14, 1992 · Closed Sep 15, 1992
Role of Peter E James: Debtor · Outcome: Case closed 1992-09-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in IL (not a filing state)
Deshanda James and Peter James closed
United States Bankruptcy Court, W.D. Louisiana · No. 91-50386 · Filed Apr 29, 1991 · Closed Aug 17, 1994
Role of Peter James: Debtor · Outcome: Case closed 1994-08-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in LA (not a filing state)
Peter James v. Petrozzo and Margaret Mary Petrozzo closed
United States Bankruptcy Court, D. New Jersey · No. 90-35342 · Filed Nov 29, 1990 · Closed Oct 21, 1991
Role of Peter James: Plaintiff · Outcome: Case closed 1991-10-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in NJ (not a filing state)
Peter James and Diana James closed
United States Bankruptcy Court, N.D. Illinois · No. 88-11630 · Filed Aug 1, 1988 · Closed Jan 13, 1989
Role of Peter James and Diana James: Debtor · Outcome: Case closed 1989-01-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in IL (not a filing state)
Peter M. James and Kona K. Pa closed
United States Bankruptcy Court, S.D. Florida. · No. 85-02183 · Filed Sep 30, 1985 · Closed Jan 25, 1986
Role of Peter M. James and Kona K. Pa: Debtor · Outcome: Case closed 1986-01-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 42 federal dockets); court in FL (not a filing state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:36 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). 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 cover issuers and sponsor groups — see the issuer pages under Deals

12 differences found between the filings for Peter James — 2 worth asking about (compared 14 filings on Oct 24, 2026)

Note · Dec 23, 2020 – Jun 8, 2023

Bankruptcy case: Aquabotix Technology Corporation — filed Dec 23, 2020

United States Bankruptcy Court, D. Massachusetts docket "Aquabotix Technology Corporation" filed Dec 23, 2020, closed Jun 8, 2023. Aquabotix Technology Corporation (listed on the same filings) is listed as Debtor ("Aquabotix Technology Corporation"). Our match estimate: 80%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, D. Massachusetts ↗Aquabotix Technology Corporation — PartnerFacts page ↗
Sources
Note · Jul 30, 2018 – May 14, 2021

Bankruptcy case: Modo Design LLC — filed Jul 30, 2018

United States Bankruptcy Court, S.D. New York docket "Modo Design LLC" filed Jul 30, 2018, closed May 14, 2021. Brian Modo (listed on the same filings) is listed as Debtor ("Modo Design LLC"). Our match estimate: 63%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, S.D. New York ↗Brian Modo — PartnerFacts page ↗
Sources
Note · Feb 5, 2008 – Jun 12, 2008

Bankruptcy case: The Long Hill Alliance Company v. Leavitt — filed Feb 5, 2008

United States Bankruptcy Court, N.D. New York docket "The Long Hill Alliance Company v. Leavitt" filed Feb 5, 2008, closed Jun 12, 2008. Long Hill Capital LLC (listed on the same filings) is listed as Party ("The Long Hill Alliance Company v. Leavitt"). Our match estimate: 60%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, N.D. New York ↗Long Hill Capital LLC — PartnerFacts page ↗
Sources
Worth asking · May 26, 2016 – Mar 20, 2019

4 filings report more than 10% of the money raised going to insiders

263% of the money raised went to insiders — Koligo Therapeutics Ltd · 20% of the money raised went to insiders — UUV Aquabotix Ltd · 18% of the money raised went to insiders — DroneShield Ltd · 18% of the money raised went to insiders — DroneShield Ltd

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Mar 20, 2019 ↗Koligo Therapeutics Ltd — PartnerFacts page ↗Form D · Apr 6, 2017 ↗UUV Aquabotix Ltd — PartnerFacts page ↗
Sources
Note · Jul 19, 2018 – Mar 20, 2019

Peter James appears on 2 deals that stopped filing before reaching their target

Koligo Therapeutics Ltd (last filing Mar 20, 2019; $38,000 sold of $400,000); UUV Aquabotix Ltd (last filing Jul 19, 2018; $1,135,082 sold of $5,332,600). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Koligo Therapeutics Ltd — PartnerFacts page ↗UUV Aquabotix Ltd — PartnerFacts page ↗
Sources
Worth asking · Apr 1, 2016 – Feb 19, 2025

Form D filed 3,246 days after the first sale — DroneShield Ltd

The filing says the first sale was Apr 1, 2016. The Form D was filed Feb 19, 2025 — 3,246 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 3,231 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Feb 19, 2025 ↗DroneShield Ltd — PartnerFacts page ↗
Sources
Note · Mar 12, 2019 – Mar 20, 2019

No amendment in the last 12 months on an offering that may still be open — Koligo Therapeutics Ltd (latest filing Mar 20, 2019)

The latest filing for this offering is dated Mar 20, 2019 (first sale Mar 12, 2019). It reports $38,000 sold of $400,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Mar 20, 2019 ↗Koligo Therapeutics Ltd — PartnerFacts page ↗
Sources
Note · Mar 22, 2017 – Apr 6, 2017

No amendment in the last 12 months on an offering that may still be open — UUV Aquabotix Ltd (latest filing Apr 6, 2017)

The latest filing for this offering is dated Apr 6, 2017 (first sale Mar 22, 2017). It reports $1,135,082 sold of $5,332,600 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Apr 6, 2017 ↗UUV Aquabotix Ltd — PartnerFacts page ↗
Sources
Note · May 11, 2016 – Jun 8, 2016

No amendment in the last 12 months on an offering that may still be open — DroneShield Ltd (latest filing Jun 8, 2016)

The latest filing for this offering is dated Jun 8, 2016 (first sale May 11, 2016). It reports $3,091,872 sold of $5,153,120 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Jun 8, 2016 ↗DroneShield Ltd — PartnerFacts page ↗
Sources
Note · Apr 12, 2018 – Feb 19, 2025

Address moved from Sydney, Australia (as filed: C3) to New York, NY — DroneShield Ltd

The people listed on the Apr 12, 2018 filing give Sydney, Australia (as filed: C3); on the Feb 19, 2025 filing they give New York, NY.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Apr 12, 2018 ↗Form D · Feb 19, 2025 ↗DroneShield Ltd — PartnerFacts page ↗
Sources
Note · Nov 3, 2017 – Apr 12, 2018

Address moved from Lane Cove West, Australia (as filed: C3) to Sydney, Australia (as filed: C3) — DroneShield Ltd

The people listed on the Nov 3, 2017 filing give Lane Cove West, Australia (as filed: C3); on the Apr 12, 2018 filing they give Sydney, Australia (as filed: C3).

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D/A · Nov 3, 2017 ↗Form D · Apr 12, 2018 ↗DroneShield Ltd — PartnerFacts page ↗
Sources
Note · Nov 2, 2017 – Nov 3, 2017

Address moved from New York, NY to Lane Cove West, Australia (as filed: C3) — DroneShield Ltd

The people listed on the Nov 2, 2017 filing give New York, NY; on the Nov 3, 2017 filing they give Lane Cove West, Australia (as filed: C3).

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Nov 2, 2017 ↗Form D/A · Nov 3, 2017 ↗DroneShield Ltd — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

4 of 10 offerings report sales commissions totalling $226,547; 0 report finder's fees; 3 report proceeds to related persons totalling $897,500. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 20, 2025 D/A
DroneShield Ltd
File 021-538694
$0$0$0
No proceeds; equity-for-equity exchange.
N/A no CRD number reportedEDGAR ↗
Mar 20, 2019 D
Koligo Therapeutics Ltd
File 021-335252
$0$0$100,000 (est.)None listed on this filingEDGAR ↗
Jul 19, 2018 D
UUV Aquabotix Ltd
File 021-317353
$0$0$0None listed on this filingEDGAR ↗
Apr 12, 2018 D
DroneShield Ltd
File 021-309987
$6,000$0$0
No proceeds to date and none planned to be used for such purposes.
None listed on this filingEDGAR ↗
Apr 12, 2018 D
DroneShield Ltd
File 021-309991
$0$0$0
No proceeds to date and none planned to be used for such purposes.
None listed on this filingEDGAR ↗
Nov 3, 2017 D/A
DroneShield Ltd
File 021-297955
$9,200 (est.)$0$0Nova Capital Solutions, LLC BrokerCheck CRD 174636 ↗
via David Batista (CRD 2715144 ↗)
EDGAR ↗
Apr 6, 2017 D
UUV Aquabotix Ltd
File 021-284175
$56,754$0$226,500 (est.)
Represents the portion of the proceeds that will be used to pay executive officers' and directors' compensation over a 12-month period, assuming the maximum offering of AUD $7,000,000.
KJM Securities, Inc. BrokerCheck CRD 20277 ↗
via KJM Securities, Inc. (CRD 20277 ↗)

Neal Berger BrokerCheck CRD 2079049 ↗
via KJM Securities, Inc. (CRD 20277 ↗)
EDGAR ↗
Aug 2, 2016 D
DroneShield Ltd
File 021-268166
$0$0$0
No proceeds to date and none planned to be used for such purposes. Offering consists of compensatory stock options.
None listed on this filingEDGAR ↗
Jun 8, 2016 D/A
DroneShield Ltd
File 021-263907
$154,593$0$571,000 (est.)
The amounts are solely for executive officers' and directors' compensation over a 12 month period, assuming the maximum offering of AUD $7,000,000.
KJM Securities, Inc. BrokerCheck CRD 20277 ↗
via KJM Securities, Inc. (CRD 20277 ↗)

Neal Berger BrokerCheck CRD 2079049 ↗
via KJM Securities, Inc. (CRD 20277 ↗)
EDGAR ↗
Apr 15, 2016 D/A
DroneShield Ltd
File 021-261310
$0$0$0
No proceeds; equity-for-equity exchange.
None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (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).

Deals 3

Every issuer that named Peter James on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

D
Other Technology · group: Lind

DroneShield Ltd

Lane Cove West, Australia (as filed: C3) · Apr 14, 2016 → Feb 20, 2025 · 11 filings
  • Feb 20, 2025 · D/A · $22,040,000 sold of $22,040,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 19, 2025 · D · $22,040,000 sold of $22,040,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 12, 2018 · D · $73,500 sold of $73,500 · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 12, 2018 · D · $100,000 sold of $100,000 · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 3, 2017 · D/A · $928,162 sold of $928,162 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 2, 2017 · D · $928,162 sold of $928,162 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 2, 2016 · D · $0 sold of $448,261 · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 8, 2016 · D/A · $3,091,872 sold of $5,153,120 · 9 investors · min. $1,472 · role: Director EDGAR ↗
  • May 26, 2016 · D · $3,091,872 sold of $5,153,120 · 9 investors · min. $1,472 · role: Director EDGAR ↗
  • Apr 15, 2016 · D/A · $22,040,000 sold of $22,040,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 14, 2016 · D · $22,040,000 sold of $22,040,000 · 6 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $22M from 9 investors (100% of the $22M target) as of the latest filing. Peter is listed as director on 11 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 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.

KT
Biotechnology · group: Koligo Therapeutics

Koligo Therapeutics Ltd

Sydney, Australia (as filed: C3) · Mar 20, 2019
  • Mar 20, 2019 · D · $38,000 sold of $400,000 · 2 investors · min. $1,500 · role: Director EDGAR ↗

Raised $38K from 2 investors (10% of the $400K target) as of the latest filing. Peter is listed as director.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 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.

UA
Other Technology · group: Lind

UUV Aquabotix Ltd

Sydney, Australia (as filed: C3) · Apr 6, 2017 → Jul 19, 2018 · 2 filings
  • Jul 19, 2018 · D · $919,320 sold of $919,320 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 6, 2017 · D · $1,135,082 sold of $5,332,600 · 12 investors · min. $1,524 · role: Director (Non-executive Director of the Issuer) EDGAR ↗

Raised $1.14M from 12 investors (100% of the $919K target) as of the latest filing. Peter is listed as director on 2 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 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.

People around Peter 23

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

D
Management entity

Droneshield LLC

Promoter · 10 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

BA
Management entity

Bergen Asset Management, LLC

Promoter · 10 shared filings (2 issuers) · also on 1 other issuer

Listed on the same filings as Peter James. Their page shows their other deals.

LH
Management entity

Long Hill Capital LLC

Promoter · 8 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

LH
Management entity

Long Hill Capital II, LLC

Promoter · 2 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

AH
Management entity

AGN Holdings

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

PC
Management entity

Peloton Capital Pty Limited

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

OV
No photo found yet (own website and image search run after this page is viewed)
Person

Oleg Vornik

Executive Officer, Director · 11 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

ET
No photo found yet (own website and image search run after this page is viewed)
Person

Eugene Tablis

Promoter · 10 shared filings (2 issuers) · also on 6 other issuers

Eugene Tablis is on 8 issuers in total — a repeat sponsor. Their page lists every one.

SR
No photo found yet (own website and image search run after this page is viewed)
Person

Samantha Ravich

Director · 9 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

JW
No photo found yet (own website and image search run after this page is viewed)
Person

James Walker

Executive Officer, Director · 7 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

WW
No photo found yet (own website and image search run after this page is viewed)
Person

Winton Willesee

Director · 7 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

RC
No photo found yet (own website and image search run after this page is viewed)
Person

Robert Clisdell

Director · 6 shared filings (3 issuers) · also on 1 other issuer

Listed on the same filings as Peter James. Their page shows their other deals.

JC
No photo found yet (own website and image search run after this page is viewed)
Person

Jay Cohen

Director · 2 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

DT
No photo found yet (own website and image search run after this page is viewed)
Person

Durval Tavares

Executive Officer, Director · 2 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

BB
No photo found yet (own website and image search run after this page is viewed)
Person

Bradley Buswell

Director · 2 shared filings (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

BM
No photo found yet (own website and image search run after this page is viewed)
Person

Brendan Martin

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

ML
No photo found yet (own website and image search run after this page is viewed)
Person

Matthew B Lehman

Executive Officer, Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Peter James. Their page shows their other deals.

SW
No photo found yet (own website and image search run after this page is viewed)
Person

Stuart Williams

Executive Officer, Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Peter James. Their page shows their other deals.

BM
No photo found yet (own website and image search run after this page is viewed)
Person

Brian Modo

Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

WM
No photo found yet (own website and image search run after this page is viewed)
Person

Whitney Million

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

AS
No photo found yet (own website and image search run after this page is viewed)
Person

Ariel Sivikofsky

Executive Officer · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Peter James. Their page shows their other deals.

JM
No photo found yet (own website and image search run after this page is viewed)
Person

Jethro Marks

Director · 1 shared filing (1 issuer)

Listed on the same filings as Peter James. Their page shows their other deals.

The team behind the deals

L
Sponsor group

Lind

14 issuers · 45 filings · $212.9M reported sold · 2009–2026

One team, 14 deal companies. Peter James is listed on 2 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Peter James.

KT
Sponsor group

Koligo Therapeutics

2 issuers · 4 filings · $1.68M reported sold · 2017–2020

One team, 2 deal companies. Peter James is listed on 1 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name Peter James.

Same business address

2 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 3 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

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 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Peter James by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Peter James is listed on: none on file. No website or social profile named in DroneShield Ltd's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #77,331 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Lane Cove West, C3). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

OpenCorporates ↗

Change history

No corrections have been requested for this page.

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