Philip I. Smith is listed as an executive officer, director, and promoter on 3 SEC Form D filings by 1 issuer between Oct 2009 and Sep 2010: Dgimed Ortho, Inc. (Minnetonka, MN — other health care — 2009–2010; $3.33M reported sold to 48 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 Dan W. Gladney (3 shared filings), David Johnson (3 shared filings), Franck L. Gougeon (3 shared filings), Mark A. McMahan (3 shared filings), Norman Dann (3 shared filings) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Philip. 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) — 1 bankruptcy case matching the name listed in Key records below.
What this means 1 record 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 3 public filings for Philip I. Smith and found 7 differences, 1 worth asking the sponsor about: Form D filed 157 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.