Robert D. Evans is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Nov 2012 and May 2014: Penumbra Inc (Alameda, CA — other health care — 2012–2014; $121K reported sold to 3 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 Adam Elsesser (2 shared filings), Arani Bose (2 shared filings), Jim Pray (2 shared filings), Lynn Rothman (2 shared filings), Thomas Krebs (2 shared filings) and 3 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.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 1 court case matching the name, 1 SEC release, 8 bankruptcy cases matching the name listed in Key records below.
What this means 10 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 2 public filings for Robert D. Evans and found 8 differences, 1 worth asking the sponsor about: Form D filed 305 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.