Roch Kelly is listed as an executive officer on 3 SEC Form D filings by 1 issuer between May 2009 and Apr 2013: RAINDANCE TECHNOLOGIES INC (Billerica, MA — biotechnology — 2009–2013; $41.9M reported sold to 24 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 Darren R. Link (3 shared filings), William Ericson (3 shared filings), Alan Sherr (2 shared filings), Jeffrey Samberg (2 shared filings), Michael B. Olex (2 shared filings) and 13 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Roch. 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) — 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 3 public filings for Roch Kelly and found 6 differences, 1 worth asking the sponsor about: Roch Kelly is no longer listed on the Mar 3, 2014 amendment; 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.