Robert O'Connor is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Apr 2013 and Nov 2013: PROJECT FROG INC (San Francisco, CA — manufacturing — 2013; $26.4M reported sold to 18 investors).
What this means One deal on file with the SEC, filed Nov 2013. 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 Ann Hand (2 shared filings), Charles McDermott (2 shared filings), Gabriel Kra (2 shared filings), Greg Saunders (2 shared filings), Lawrence Leisure (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 (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 2 public filings for Robert O'Connor and found 2 differences: 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.