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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:49 AM ET

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Robert B. Stein

Named as an officer, director or promoter on SEC Form D filings · MA, NY · Feb 23, 2016 → Dec 23, 2019

2deals (issuers)
$65.3Mreported sold
66investors
12Form D filings
2016–2019years 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

Robert B. Stein is listed as an executive officer and director on 12 SEC Form D filings by 2 issuers between Mar 2015 and Dec 2019: AGENUS INC (Lexington, MA — biotechnology — 2015–2017; $60M reported sold to 17 investors) and Protagenic Therapeutics, Inc.\new (New York, NY — biotechnology — 2016–2019; $5.29M reported sold to 49 investors).

What this means 2 separate companies raised money with this person listed as executive officer and director, over about 4 years. Across those companies the filings report $65.3M sold in total.

Listed alongside Garo H. Armen (12 shared filings), Brian Corvese (9 shared filings), Alexander K. Arrow (6 shared filings), Christine M. Klaskin (6 shared filings), Joshua Silverman (6 shared filings) and 12 others.

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

The issuers belong to 2 sponsor groups: Protagenic Therapeutics (2 issuers, $1.31M reported sold, 2011–2019) and Agenus (2 issuers, $130M reported sold, 2009–2019).

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) — 3 state regulator orders, 11 bankruptcy cases matching the name listed in Key records below.

What this means 14 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 12 public filings for Robert B. Stein and found 11 differences: Bankruptcy case: Atrinsic, Inc; No amendment in the last 12 months on an offering that may still be open; 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 Robert B. Stein has not run yet — it is joining a line of 41,408 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

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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.

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

3 state regulator orders

Order Of Dismissal IL · Illinois Secretary of State, Securities Department
Order date Nov 30, 2023 · Regulator: Illinois Secretary of State, Securities Department · File No. 2200853 · Parties (regulator's caption): Robert N Stein
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 7 people with this name in Form D filings; regulator in IL (not a filing state); middle initial differs
Notice Of Hearing IL · Illinois Secretary of State, Securities Department
Order date Sep 27, 2023 · Regulator: Illinois Secretary of State, Securities Department · File No. 2200853 · Parties (regulator's caption): Robert N. Stein
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 7 people with this name in Form D filings; regulator in IL (not a filing state); middle initial differs
Permanent Order to Cease and Desist AK · Alaska Division of Banking and Securities (Department of Commerce, Community, and Economic Development)
Order date Sep 14, 1982 · Regulator: Alaska Division of Banking and Securities (Department of Commerce, Community, and Economic Development) · 83-1-S · Parties (regulator's caption): Monarch Oil and Gas Corporation; Monarch Oil and Gas, Ltd.; One Allen Center; John Allen; Merrill Berg; Duane King; Edward Lewis; Greg Reinker; Joan Slazik; and Robert Stein
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 7 people with this name in Form D filings; regulator in AK (not a filing state)
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 Robert B. Stein..

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

11 cases: 1 open, 10 closed (disposition not in docket feed)

Robert M. Stein open
United States Bankruptcy Court, S.D. New York · No. 26-22276 · Filed Mar 18, 2026
Role of Robert M. Stein: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert Stein closed
United States Bankruptcy Court, S.D. New York · No. 12-13359 · Filed Aug 5, 2012 · Closed Jun 10, 2016
Role of Robert Stein: Debtor · Outcome: Case closed 2016-06-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY)
Robert C. Stein closed
United States Bankruptcy Court, W.D. New York · No. 2-11-20153 · Filed Feb 1, 2011 · Closed Jul 10, 2013
Role of Robert C. Stein: Debtor · Outcome: Case closed 2013-07-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert J. Stein, Jr. and Jane Grossman Stein closed
United States Bankruptcy Court, N.D. New York · No. 06-10503 · Filed Mar 14, 2006 · Closed Oct 16, 2006
Role of Robert J. Stein, Jr.: Debtor · Outcome: Case closed 2006-10-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert Stein closed
United States Bankruptcy Court, N.D. New York · No. 01-66948 · Filed Nov 27, 2001 · Closed Jun 12, 2002
Role of Robert Stein: Debtor · Outcome: Case closed 2002-06-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY)
Robert M. Stein closed
United States Bankruptcy Court, D. Massachusetts · No. 01-16943 · Filed Sep 5, 2001 · Closed Jan 9, 2002
Role of Robert M. Stein: Debtor · Outcome: Case closed 2002-01-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (MA); middle initial differs
Robert H Stein and Lynda F Stein closed
United States Bankruptcy Court, E.D. New York · No. 8-98-85828 · Filed Jun 3, 1998 · Closed Jan 18, 2002
Role of Robert H Stein and Lynda F Stein: Debtor · Outcome: Case closed 2002-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert J. Stein and Joanne E. Stein closed
United States Bankruptcy Court, N.D. New York · No. 97-16044 · Filed Sep 18, 1997 · Closed Feb 18, 1998
Role of Robert J. Stein and Joanne E. Stein: Debtor · Outcome: Case closed 1998-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert J. Stein, Jr. closed
United States Bankruptcy Court, N.D. New York · No. 96-10029 · Filed Jan 4, 1996 · Closed Apr 25, 1996
Role of Robert J. Stein, Jr.: Debtor · Outcome: Case closed 1996-04-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert J. Stein, Jr. closed
United States Bankruptcy Court, N.D. New York · No. 95-11431 · Filed Apr 18, 1995 · Closed May 21, 1997
Role of Robert J. Stein, Jr.: Debtor · Outcome: Case closed 1997-05-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
Robert J. Stein, Jr. closed
United States Bankruptcy Court, N.D. New York · No. 90-10095 · Filed Jan 11, 1990 · Closed Apr 9, 1996
Role of Robert J. Stein, Jr.: Debtor · Outcome: Case closed 1996-04-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 117 federal dockets); 7 people with this name in Form D filings; court in the person's filing state (NY); middle initial differs
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

11 differences found between the filings for Robert B. Stein (compared 12 filings on Oct 24, 2026)

Note · Jun 15, 2012 – Nov 21, 2013

Bankruptcy case: Atrinsic, Inc. — filed Jun 15, 2012

United States Bankruptcy Court, S.D. New York docket "Atrinsic, Inc." filed Jun 15, 2012, closed Nov 21, 2013. Protagenic Therapeutics, Inc.\new (related issuer) is listed as Debtor ("Atrinsic, Inc."). 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, S.D. New York ↗Protagenic Therapeutics, Inc.\new — PartnerFacts page ↗
Sources
Note · Nov 5, 2019 – Dec 23, 2019

No amendment in the last 12 months on an offering that may still be open — Protagenic Therapeutics, Inc.\new (latest filing Dec 23, 2019)

The latest filing for this offering is dated Dec 23, 2019 (first sale Nov 5, 2019). It reports $670,000 sold of $2,500,000 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/A · Dec 23, 2019 ↗Protagenic Therapeutics, Inc.\new — PartnerFacts page ↗
Sources
Note · Feb 12, 2016 – Apr 22, 2016

No amendment in the last 12 months on an offering that may still be open — Protagenic Therapeutics, Inc.\new (latest filing Apr 22, 2016)

The latest filing for this offering is dated Apr 22, 2016 (first sale Feb 12, 2016). It reports $5,135,575 sold of $5,500,000 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/A · Apr 22, 2016 ↗Protagenic Therapeutics, Inc.\new — PartnerFacts page ↗
Sources
Note · Dec 23, 2015 – Jan 4, 2016

No amendment in the last 12 months on an offering that may still be open — AGENUS INC (latest filing Jan 4, 2016)

The latest filing for this offering is dated Jan 4, 2016 (first sale Dec 23, 2015). It reports $7,400,090 sold of $42,400,090 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 · Jan 4, 2016 ↗AGENUS INC — PartnerFacts page ↗
Sources
Note · Mar 5, 2015 – Feb 23, 2016

Robert B. Stein is written 2 different ways on the filings

listed as "Robert Stein" on 5 filings (from Mar 5, 2015), and "Robert B. Stein" on 7 filings (from Feb 23, 2016).

What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.

Form D · Mar 5, 2015 ↗Form D · Feb 23, 2016 ↗Robert B. Stein — PartnerFacts page ↗
Sources
Note · May 19, 2025 – Jul 30, 2026

Same name, different state: "Robert Stein" (MN) is a separate record

This page covers filings where the address state is MA or NY. A separate record, "Robert Stein" with address state MN, is listed on 2 filings — most recently by Alpheus Medical, Inc. (Jul 30, 2026). The two records do not overlap in time: this page runs Feb 23, 2016 to Dec 23, 2019; the other runs May 19, 2025 to Jul 30, 2026.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert Stein (MN) — PartnerFacts page ↗Form D/A · Jul 30, 2026 ↗Alpheus Medical, Inc. — PartnerFacts page ↗Robert B. Stein (MA,NY) — this page ↗
Sources
Note · Jan 22, 2024 – Jun 23, 2025

Same name, different state: "Robert B. Stein" (L3) is a separate record

This page covers filings where the address state is MA or NY. A separate record, "Robert B. Stein" with address state L3, is listed on 4 filings — most recently by PolyPid Ltd. (Jun 23, 2025). The two records do not overlap in time: this page runs Feb 23, 2016 to Dec 23, 2019; the other runs Jan 22, 2024 to Jun 23, 2025.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert B. Stein (L3) — PartnerFacts page ↗Form D · Jun 23, 2025 ↗PolyPid Ltd. — PartnerFacts page ↗Robert B. Stein (MA,NY) — this page ↗
Sources
Note · Jun 15, 2018 – Sep 30, 2020

Same name, different state: "Robert Stein" (NY) is a separate record

This page covers filings where the address state is MA or NY. A separate record, "Robert Stein" with address state NY, is listed on 4 filings — most recently by Flame Biosciences, Inc. (Sep 30, 2020). Both records have filings in the same period (Jun 15, 2018 to Dec 23, 2019).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert Stein (NY) — PartnerFacts page ↗Form D · Sep 30, 2020 ↗Flame Biosciences, Inc. — PartnerFacts page ↗Robert B. Stein (MA,NY) — this page ↗
Sources
Note · Sep 2, 2009 – Jan 8, 2010

Same name, different state: "Robert B. Stein" (CA) is a separate record

This page covers filings where the address state is MA or NY. A separate record, "Robert B. Stein" with address state CA, is listed on 3 filings — most recently by KINEMED INC (Jan 8, 2010). The two records do not overlap in time: this page runs Feb 23, 2016 to Dec 23, 2019; the other runs Sep 2, 2009 to Jan 8, 2010.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert B. Stein (CA) — PartnerFacts page ↗Form D/A · Jan 8, 2010 ↗KINEMED INC — PartnerFacts page ↗Robert B. Stein (MA,NY) — this page ↗
Sources
Note · Oct 7, 2009

Same name, different state: "Robert Stein" (DC) is a separate record

This page covers filings where the address state is MA or NY. A separate record, "Robert Stein" with address state DC, is listed on 1 filing — most recently by Progressive Book Club LLC (Oct 7, 2009). The two records do not overlap in time: this page runs Feb 23, 2016 to Dec 23, 2019; the other has one filing dated Oct 7, 2009.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Robert Stein (DC) — PartnerFacts page ↗Form D · Oct 7, 2009 ↗Progressive Book Club LLC — PartnerFacts page ↗Robert B. Stein (MA,NY) — this page ↗
Sources
Note · Mar 5, 2015 – Dec 23, 2019

Robert B. Stein is listed with 2 different address states: MA, NY

MA on 6 filings (Mar 5, 2015 to Mar 1, 2017); NY on 6 filings (Feb 23, 2016 to Dec 23, 2019).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Mar 5, 2015 ↗Form D · Feb 23, 2016 ↗
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

2 of 8 offerings report sales commissions totalling $206,183; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Dec 23, 2019 D/A
Protagenic Therapeutics, Inc.\new
File 021-352091
$32,000$0$0Katalyst Securities LLC BrokerCheck CRD 112494 ↗EDGAR ↗
Mar 1, 2017 D
AGENUS INC
File 021-281531
$0$0$0None listed on this filingEDGAR ↗
Apr 22, 2016 D/A
Protagenic Therapeutics, Inc.\new
File 021-257945
$174,183$0$0Katalyst Securities LLC BrokerCheck CRD 112494 ↗
WestPark Capital, Inc. BrokerCheck CRD 39914 ↗		EDGAR ↗
Jan 8, 2016 D
AGENUS INC
File 021-254821
$0$0$0 (est.)None listed on this filingEDGAR ↗
Jan 4, 2016 D
AGENUS INC
File 021-254388
$0$0$0 (est.)None listed on this filingEDGAR ↗
Sep 23, 2015 D
AGENUS INC
File 021-248110
$0$0$0None listed on this filingEDGAR ↗
Mar 5, 2015 D
AGENUS INC
File 021-235246
$0$0$0 (est.)None listed on this filingEDGAR ↗
Mar 5, 2015 D
AGENUS INC
File 021-235248
$0$0$0None 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 2

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

PT
Biotechnology · group: Protagenic Therapeutics

Protagenic Therapeutics, Inc.\new

New York, NY · Feb 23, 2016 → Dec 23, 2019 · 6 filings
  • Dec 23, 2019 · D/A · $670,000 sold of $2,500,000 · 14 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 5, 2019 · D/A · $555,000 sold of $2,500,000 · 10 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 29, 2019 · D · $0 sold of $2,500,000 · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 22, 2016 · D/A · $5,135,575 sold of $5,500,000 · 49 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 22, 2016 · D/A · $4,610,250 sold of $5,500,000 · 37 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 23, 2016 · D · $3,468,750 sold of $5,500,000 · 22 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $5.29M from 49 investors (100% of the $2.5M target) as of the latest filing. Robert is listed as director on 6 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: 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.

A
Biotechnology · group: Agenus

AGENUS INC

Lexington, MA · Mar 5, 2015 → Mar 1, 2017 · 6 filings
  • Mar 1, 2017 · D · $60,000,000 sold of $60,000,000 · 1 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Jan 8, 2016 · D · $500,000 sold of $500,000 · 1 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Jan 4, 2016 · D · $7,400,090 sold of $42,400,090 · 17 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Sep 23, 2015 · D · $2,142,000 sold of $2,142,000 · 2 investors · min. No minimum reported · role: Executive Officer (Chief Scientific Officer) EDGAR ↗
  • Mar 5, 2015 · D · $21,140,000 sold of $21,140,000 · 8 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Mar 5, 2015 · D · $35,000,000 sold of $35,000,000 · 1 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $60M from 17 investors (100% of the $60M target) as of the latest filing. Robert is listed as executive officer on 6 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: 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.

Other pages with the same name (6)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Robert Stein — NY, 3 issuers, Jun 15, 2018 → Sep 30, 2020 · no shared issuer
  • Robert B. Stein — CA, 1 issuer, Sep 2, 2009 → Jan 8, 2010 · no shared issuer
  • Robert Stein — DC, 1 issuer, Oct 7, 2009 → Oct 7, 2009 · no shared issuer
  • Robert B. Stein — Israel (as filed: L3), 1 issuer, Jan 22, 2024 → Jun 23, 2025 · no shared issuer
  • Robert Stein — MN, 1 issuer, May 19, 2025 → Jul 30, 2026 · no shared issuer
  • Robert B. Stein — TX, PA, 1 issuer, Jan 15, 2025 → Jan 15, 2025 · no shared issuer

People around Robert 17

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

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

Garo H. Armen

Executive Officer, Director · 12 shared filings (2 issuers) · also on 2 other issuers

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Brian Corvese

Director · 9 shared filings (2 issuers)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Timothy Wright

Director · 6 shared filings (1 issuer) · also on 5 other issuers

Timothy Wright is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Khalil Barrage

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

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Christine M. Klaskin

Executive Officer · 6 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Wadih Jordan

Director · 6 shared filings (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Shalini Sharp

Director · 6 shared filings (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Ozer Baysal

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Shahzad Malik

Director · 6 shared filings (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Alexander K. Arrow

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Joshua Silverman

Director · 6 shared filings (1 issuer) · also on 10 other issuers

Joshua Silverman is on 11 issuers in total — a repeat sponsor. Their page lists every one.

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

Karen Valentine

Executive Officer · 6 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Tom Dechaene

Director · 4 shared filings (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Charles Evan Ballantyne

Executive Officer · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Gregory H. Ekizian

Director · 3 shared filings (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Robert Ziroyan

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

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

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

Ulf Wiinberg

Director · 1 shared filing (1 issuer)

Listed on the same filings as Robert B. Stein. Their page shows their other deals.

The team behind the deals

PT
Sponsor group

Protagenic Therapeutics

2 issuers · 9 filings · $1.31M reported sold · 2011–2019

One team, 2 deal companies. Robert B. Stein 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 Robert B. Stein.

A
Sponsor group

Agenus

2 issuers · 12 filings · $130M reported sold · 2009–2019

One team, 2 deal companies. Robert B. Stein 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 Robert B. Stein.

Same business address

12 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 2 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 Robert B. Stein 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Robert B. Stein is listed on: none on file. No website or social profile named in AGENUS INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #240,294 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 (Lexington, MA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

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Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Massachusetts MassCourts ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

Massachusetts Secretary of State business search ↗New York Secretary of State business search ↗OpenCorporates ↗

Change history

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