Robert Graham is listed as a director on 2 SEC Form D filings by 1 issuer between Jun 2011 and Jul 2011: EnGeneIC Ltd. (ABN: 59 091 336 499) (Lane Cove, New South Wales, Australia (as filed: C3) — biotechnology — 2011; $7M reported sold to 4 investors).
What this means One deal on file with the SEC, filed Jul 2011. 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 Ergad Gold (2 shared filings), Graham Cole (2 shared filings), Himanshu Brahmbhatt (2 shared filings), Jennifer MacDiarmid (2 shared filings), Richard Woods (2 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 Robert. Each name links to their own page.
The issuer belongs to the sponsor group Engeneic (4 issuers, $7.65M reported sold, 2011–2017).
What this means A sponsor group is one team that sets up a new company for each deal. Engeneic has 4 companies on file and $7.65M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 4 SEC releases listed in Key records below.
What this means 4 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 Graham and found 6 differences: Offering amount changed between filings; Same name, different state: "Robert Graham" (NV) is a separate record; 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.