Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:28 AM ET

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Sam Lee

Named as an officer, director or promoter on SEC Form D filings · WA · Oct 9, 2009 → Apr 7, 2026

3deals (issuers)

$13.5Mreported sold

43investors

8Form D filings

2009–2026years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Sam Lee is listed as an executive officer, director, and promoter on 8 SEC Form D filings by 3 issuers between Oct 2009 and Apr 2026: COCRYSTAL DISCOVERY INC (Bothell, WA — biotechnology — 2009–2013; $7.68M reported sold to 12 investors), Cocrystal Pharma, Inc. (Tucker, GA — pharmaceuticals — 2014–2017; $5M reported sold to 23 investors) and CIVIK Biotech Inc (Kirkland, WA — biotechnology — 2026; $850K reported sold to 8 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, director, and promoter, over about 17 years. Across those companies the filings report $13.5M sold in total.

Listed alongside Jane H. Hsiao (7 shared filings), Phillip Frost (7 shared filings), Roger Kornberg (6 shared filings), Steven D. Rubin (5 shared filings), Gary L Wilcox (4 shared filings) and 7 others.

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

2 of the issuers belong to the sponsor group Cocrystal (2 issuers, $10.5M reported sold, 2009–2017).

What this means A sponsor group is one team that sets up a new company for each deal. Cocrystal has 2 companies on file and $10.5M 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) — 3 court cases matching the name, 20 bankruptcy cases matching the name listed in Key records below.

What this means 23 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 8 public filings for Sam Lee and found 10 differences: Sam Lee's role changed at Cocrystal Pharma, Inc.: executive officer, director → executive officer; Sam Lee's role changed at COCRYSTAL DISCOVERY INC: executive officer, director, promoter → executive officer, director; 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 Sam Lee has not run yet — it is joining a line of 17,144 names; searches run around the clock at the hosts' allowed rate. Searched so far: 28 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

3 cases: 1 dismissed, 2 closed (disposition not in docket feed)

Sam Lee v. The Bank of New York Mellon c/o Bayview Loan Servicing, LLC dismissed

District Court, C.D. California · No. 8:16-cv-01919 · Filed Oct 20, 2016 · Closed Feb 28, 2017 · Nature of suit: 220 Foreclosure

Role of Sam Lee: Plaintiff · Outcome: Terminated 2017-02-28 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

Sam Lee v. Mortgage Electronic Registration Systems Inc closed

District Court, C.D. California · No. 8:11-cv-01726 · Filed Nov 9, 2011 · Closed Apr 6, 2012 · Nature of suit: 220 Foreclosure

Role of Sam Lee: Plaintiff · Outcome: Terminated 2012-04-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

Sam Lee v. Resolution Trust closed

District Court, C.D. California · No. 2:94-cv-07410 · Filed Nov 2, 1994 · Closed Sep 6, 1995 · Nature of suit: 290 Other real property actions

Role of Sam Lee: Plaintiff · Outcome: Terminated 1995-09-06 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

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, 2:20 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.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 Sam Lee..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

20 cases: 20 closed (disposition not in docket feed)

Sam Lee closed

United States Bankruptcy Court, W.D. Washington · No. 20-12802 · Filed Nov 10, 2020 · Closed Feb 22, 2021

Role of Sam Lee: Debtor · Outcome: Case closed 2021-02-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (WA)

Sam R Lee closed

United States Bankruptcy Court, S.D. Alabama · No. 16-04440 · Filed Dec 22, 2016 · Closed May 29, 2017

Role of Sam R Lee: Debtor · Outcome: Case closed 2017-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in AL (not a filing state)

Sam Lee and Nancy Lee closed

United States Bankruptcy Court, N.D. Texas · No. 15-44140 · Filed Oct 13, 2015 · Closed Feb 11, 2016

Role of Sam Lee and Nancy Lee: Debtor · Outcome: Case closed 2016-02-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in TX (not a filing state)

Sam Lee and Mi Hwa Lee closed

United States Bankruptcy Court, D. New Jersey · No. 13-30449 · Filed Sep 18, 2013 · Closed Jan 7, 2014

Role of Sam Lee and Mi Hwa Lee: Debtor · Outcome: Case closed 2014-01-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in NJ (not a filing state)

Christopher Kae Lee and Sam P Lee closed

United States Bankruptcy Court, W.D. Washington · No. 12-22644 · Filed Dec 20, 2012 · Closed Apr 5, 2013

Role of Sam P Lee: Debtor · Outcome: Case closed 2013-04-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (WA)

Sam Lee and Thersa T. Lee closed

United States Bankruptcy Court, M.D. Louisiana · No. 12-11716 · Filed Nov 27, 2012 · Closed Jun 24, 2015

Role of Sam Lee and Thersa T. Lee: Debtor · Outcome: Case closed 2015-06-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in LA (not a filing state)

Sam Lee closed

United States Bankruptcy Court, C.D. California · No. 2:12-bk-47789 · Filed Nov 12, 2012 · Closed Jan 8, 2014

Role of Sam Lee: Debtor · Outcome: Case closed 2014-01-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

Sam Lee and Michelle Luu closed

United States Bankruptcy Court, W.D. Washington · No. 12-17097 · Filed Jul 9, 2012 · Closed Oct 15, 2012

Role of Sam Lee and Michelle Luu: Debtor · Outcome: Case closed 2012-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in the person's filing state (WA)

Sam Lee closed

United States Bankruptcy Court, C.D. California · No. 2:12-bk-15749 · Filed Feb 17, 2012 · Closed Jun 21, 2012

Role of Sam Lee: Debtor · Outcome: Case closed 2012-06-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

Sam C Lee closed

United States Bankruptcy Court, C.D. California · No. 1:11-bk-15657 · Filed May 6, 2011 · Closed Jun 12, 2012

Role of Sam C Lee: Debtor · Outcome: Case closed 2012-06-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

Sam Lee and Yong Hui Lee closed

United States Bankruptcy Court, C.D. California · No. 2:10-bk-27494 · Filed May 3, 2010 · Closed Aug 12, 2011

Role of Sam Lee and Yong Hui Lee: Debtor · Outcome: Case closed 2011-08-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

Joo Wol Lee and Sam B Lee closed

United States Bankruptcy Court, D. New Jersey · No. 10-20702 · Filed Apr 9, 2010 · Closed Sep 2, 2010

Role of Sam B Lee: Debtor · Outcome: Case closed 2010-09-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in NJ (not a filing state)

Sam J Lee and Sung Hee Moon closed

United States Bankruptcy Court, E.D. New York · No. 1-08-40212 · Filed Jan 15, 2008 · Closed Apr 14, 2008

Role of Sam J Lee and Sung Hee Moon: Debtor · Outcome: Case closed 2008-04-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in NY (not a filing state)

SAM LEE and MARIA LEE closed

United States Bankruptcy Court, D. Nevada · No. 03-18313 · Filed Jul 3, 2003 · Closed Sep 18, 2006

Role of SAM LEE and MARIA LEE: Debtor · Outcome: Case closed 2006-09-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in NV (not a filing state)

Sam Lee and Van Hua closed

United States Bankruptcy Court, C.D. California · No. 2:02-bk-41234 · Filed Nov 4, 2002 · Closed Mar 7, 2003

Role of Sam Lee and Van Hua: Debtor · Outcome: Case closed 2003-03-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

Sam T. Lee closed

United States Bankruptcy Court, N.D. California · No. 01-55829 · Filed Nov 28, 2001 · Closed Mar 5, 2002

Role of Sam T. Lee: Debtor · Outcome: Case closed 2002-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CA (not a filing state)

SAM C.H. LEE closed

United States Bankruptcy Court, D. Nevada · No. 99-18844 · Filed Nov 3, 1999 · Closed Feb 25, 2000

Role of SAM C.H. LEE: Debtor · Outcome: Case closed 2000-02-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in NV (not a filing state)

Sam Lee and Anita Lee closed

United States Bankruptcy Court, N.D. Texas · No. 98-45026 · Filed Aug 18, 1998 · Closed Dec 18, 1998

Role of Sam Lee and Anita Lee: Debtor · Outcome: Case closed 1998-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in TX (not a filing state)

Sam S. Lee closed

United States Bankruptcy Court, D. Connecticut · No. 98-22912 · Filed Jun 26, 1998 · Closed Oct 28, 1998

Role of Sam S. Lee: Debtor · Outcome: Case closed 1998-10-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in CT (not a filing state)

Sam Lee and Sheila C. Lee closed

United States Bankruptcy Court, M.D. Louisiana · No. 96-12323 · Filed Nov 27, 1996 · Closed Feb 5, 1999

Role of Sam Lee and Sheila C. Lee: Debtor · Outcome: Case closed 1999-02-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same full name (a name found in 43 federal dockets); 5 people with this name in Form D filings; court in LA (not a filing state)

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, 2:20 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

10 differences found between the filings for Sam Lee (compared 8 filings on Oct 24, 2026)

Note · Jan 31, 2014 – May 2, 2017

Sam Lee's role changed at Cocrystal Pharma, Inc.: executive officer, director → executive officer

The Jan 31, 2014 filing lists Sam Lee as executive officer, director; the May 2, 2017 Form D lists executive officer.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Jan 31, 2014 ↗Form D · May 2, 2017 ↗Sam Lee — PartnerFacts page ↗Cocrystal Pharma, Inc. — PartnerFacts page ↗

Sources

Form D · Jan 31, 2014 ↗ (Jan 31, 2014)
Form D · May 2, 2017 ↗ (May 2, 2017)
Sam Lee — PartnerFacts page ↗
Cocrystal Pharma, Inc. — PartnerFacts page ↗ (May 2, 2017)

Note · Oct 9, 2009 – Oct 14, 2011

Sam Lee's role changed at COCRYSTAL DISCOVERY INC: executive officer, director, promoter → executive officer, director

The Oct 9, 2009 filing lists Sam Lee as executive officer, director, promoter; the Oct 14, 2011 Form D lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D/A · Oct 9, 2009 ↗Form D · Oct 14, 2011 ↗Sam Lee — PartnerFacts page ↗COCRYSTAL DISCOVERY INC — PartnerFacts page ↗

Sources

Form D/A · Oct 9, 2009 ↗ (Oct 9, 2009)
Form D · Oct 14, 2011 ↗ (Oct 14, 2011)
Sam Lee — PartnerFacts page ↗
COCRYSTAL DISCOVERY INC — PartnerFacts page ↗ (Oct 2, 2013)

Note · Oct 3, 2011 – Oct 2, 2013

No amendment in the last 12 months on an offering that may still be open — COCRYSTAL DISCOVERY INC (latest filing Oct 2, 2013)

The latest filing for this offering is dated Oct 2, 2013 (first sale Oct 3, 2011). It reports $7,500,000 sold of $45,000,000 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 · Oct 2, 2013 ↗COCRYSTAL DISCOVERY INC — PartnerFacts page ↗

Sources

Form D/A · Oct 2, 2013 ↗ (Oct 2, 2013)
COCRYSTAL DISCOVERY INC — PartnerFacts page ↗ (Oct 2, 2013)

Note · Sep 19, 2008 – Oct 9, 2009

No amendment in the last 12 months on an offering that may still be open — COCRYSTAL DISCOVERY INC (latest filing Oct 9, 2009)

The latest filing for this offering is dated Oct 9, 2009 (first sale Sep 19, 2008). It reports $7,677,581 sold of $10,202,585 offered. No later amendment is in our index as of Oct 24, 2026.

Form D/A · Oct 9, 2009 ↗COCRYSTAL DISCOVERY INC — PartnerFacts page ↗

Sources

Form D/A · Oct 9, 2009 ↗ (Oct 9, 2009)
COCRYSTAL DISCOVERY INC — PartnerFacts page ↗ (Oct 2, 2013)

Note · Jan 17, 2014 – May 2, 2017

Industry group changed between filings — Cocrystal Pharma, Inc.

"Biotechnology" (Jan 17, 2014 to Jan 31, 2014); then "Pharmaceuticals" (May 2, 2017).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Jan 17, 2014 ↗Form D · May 2, 2017 ↗Cocrystal Pharma, Inc. — PartnerFacts page ↗

Sources

Form D · Jan 17, 2014 ↗ (Jan 17, 2014)
Form D · May 2, 2017 ↗ (May 2, 2017)
Cocrystal Pharma, Inc. — PartnerFacts page ↗ (May 2, 2017)

Note · Oct 15, 2021

Same name, different state: "Sam Lee" (TX) is a separate record

This page covers filings where the address state is WA. A separate record, "Sam Lee" with address state TX, is listed on 1 filing — most recently by Physicians Integrated Network, LLC (Oct 15, 2021). Both records have filings in the same period (Oct 15, 2021).

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.

Sam Lee (TX) — PartnerFacts page ↗Form D/A · Oct 15, 2021 ↗Physicians Integrated Network, LLC — PartnerFacts page ↗Sam Lee (WA) — this page ↗

Sources

Sam Lee (TX) — PartnerFacts page ↗ (Oct 15, 2021)
Form D/A · Oct 15, 2021 ↗ (Oct 15, 2021)
Physicians Integrated Network, LLC — PartnerFacts page ↗ (Oct 15, 2021)
Sam Lee (WA) — this page ↗ (Apr 7, 2026)

Note · Mar 30, 2016 – Sep 15, 2016

Same name, different state: "SAM LEE" (GA) is a separate record

This page covers filings where the address state is WA. A separate record, "SAM LEE" with address state GA, is listed on 2 filings — most recently by Cocrystal Pharma, Inc. (Sep 15, 2016). Both records have filings in the same period (Mar 30, 2016 to Sep 15, 2016).

SAM LEE (GA) — PartnerFacts page ↗Form D · Sep 15, 2016 ↗Cocrystal Pharma, Inc. — PartnerFacts page ↗Sam Lee (WA) — this page ↗

Sources

SAM LEE (GA) — PartnerFacts page ↗ (Sep 15, 2016)
Form D · Sep 15, 2016 ↗ (Sep 15, 2016)
Cocrystal Pharma, Inc. — PartnerFacts page ↗ (May 2, 2017)
Sam Lee (WA) — this page ↗ (Apr 7, 2026)

Note · Mar 25, 2010 – Aug 27, 2010

Same name, different state: "Sam Lee" (CA) is a separate record

This page covers filings where the address state is WA. A separate record, "Sam Lee" with address state CA, is listed on 3 filings — most recently by C2 DESIGN AUTOMATION (Aug 27, 2010). Both records have filings in the same period (Mar 25, 2010 to Aug 27, 2010).

Sam Lee (CA) — PartnerFacts page ↗Form D · Aug 27, 2010 ↗C2 DESIGN AUTOMATION — PartnerFacts page ↗Sam Lee (WA) — this page ↗

Sources

Sam Lee (CA) — PartnerFacts page ↗ (Aug 27, 2010)
Form D · Aug 27, 2010 ↗ (Aug 27, 2010)
C2 DESIGN AUTOMATION — PartnerFacts page ↗ (Aug 27, 2010)
Sam Lee (WA) — this page ↗ (Apr 7, 2026)

Note · Jul 2, 2009 – Nov 2, 2009

Same name, different state: "Sam H. Lee" (CA) is a separate record

This page covers filings where the address state is WA. A separate record, "Sam H. Lee" with address state CA, is listed on 2 filings — most recently by Lightning Bug, Inc. (Nov 2, 2009). Both records have filings in the same period (Oct 9, 2009 to Nov 2, 2009).

Sam H. Lee (CA) — PartnerFacts page ↗Form D/A · Nov 2, 2009 ↗Lightning Bug, Inc. — PartnerFacts page ↗Sam Lee (WA) — this page ↗

Sources

Sam H. Lee (CA) — PartnerFacts page ↗ (Nov 2, 2009)
Form D/A · Nov 2, 2009 ↗ (Nov 2, 2009)
Lightning Bug, Inc. — PartnerFacts page ↗ (Nov 2, 2009)
Sam Lee (WA) — this page ↗ (Apr 7, 2026)

Note · Jan 17, 2014 – May 2, 2017

Reported revenue range changed between filings — Cocrystal Pharma, Inc.

"$5,000,001 - $25,000,000" (Jan 17, 2014); then "Decline to Disclose" (May 2, 2017).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Jan 17, 2014 ↗Form D · May 2, 2017 ↗Cocrystal Pharma, Inc. — PartnerFacts page ↗

Sources

Form D · Jan 17, 2014 ↗ (Jan 17, 2014)
Form D · May 2, 2017 ↗ (May 2, 2017)
Cocrystal Pharma, Inc. — PartnerFacts page ↗ (May 2, 2017)

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

1 of 6 offerings reports sales commissions totalling $125,000; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Apr 7, 2026 D CIVIK Biotech Inc File 021-579268	$0	$0	$0	None listed on this filing	EDGAR ↗
May 2, 2017 D Cocrystal Pharma, Inc. File 021-285894	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 31, 2014 D Cocrystal Pharma, Inc. File 021-211113	$125,000	$0	$0	None no CRD number reported via Palladium Capital Advisors, LLC (CRD 129400 ↗)	EDGAR ↗
Jan 17, 2014 D Cocrystal Pharma, Inc. File 021-210368	$0	$0	$0	None listed on this filing	EDGAR ↗
Oct 2, 2013 D/A COCRYSTAL DISCOVERY INC File 021-167291	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗
Oct 9, 2009 D/A COCRYSTAL DISCOVERY INC File 021-123572	$0	$0	$0 (est.)	None listed on this filing	EDGAR ↗

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 3

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

Biotechnology

CIVIK Biotech Inc

Kirkland, WA · Apr 7, 2026

Apr 7, 2026 · D · $850,000 sold of $1,000,000 · 8 investors · min. No minimum reported · role: Director, Promoter EDGAR ↗

Raised $850K from 8 investors (85% of the $1M target) as of the latest filing. Sam is listed as director, promoter.

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.

Pharmaceuticals · group: Cocrystal

Cocrystal Pharma, Inc.

Tucker, GA · Jan 17, 2014 → May 2, 2017 · 3 filings

May 2, 2017 · D · $3,000,000 sold of $3,000,000 · 3 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
Jan 31, 2014 · D · $2,750,000 sold of $2,750,000 · 8 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
Jan 17, 2014 · D · $0 sold of $0 · 23 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $5M from 23 investors (100% of the $3M target) as of the latest filing. Sam is listed as executive officer, director on 3 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: Pharmaceuticals / 506(b) (800 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.

Biotechnology · group: Cocrystal

COCRYSTAL DISCOVERY INC

Bothell, WA · Oct 9, 2009 → Oct 2, 2013 · 4 filings

Oct 2, 2013 · D/A · $7,500,000 sold of $45,000,000 · 1 investors · min. $7,500,000 · role: Executive Officer, Director EDGAR ↗
Sep 17, 2012 · D/A · $7,500,000 sold of $45,000,000 · 1 investors · min. $7,500,000 · role: Executive Officer, Director EDGAR ↗
Oct 14, 2011 · D · $7,500,000 sold of $45,000,000 · 1 investors · min. $7,500,000 · role: Executive Officer, Director EDGAR ↗
Oct 9, 2009 · D/A · $7,677,581 sold of $10,202,585 · 12 investors · min. $2,500 · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $7.68M from 12 investors (17% of the $45M target) as of the latest filing. Sam is listed as executive officer, director, promoter on 4 filings for this deal.

Latest filing on EDGAR ↗

Sources

Other pages with the same name (4)

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

Sam Lee — CA, 2 issuers, Mar 25, 2010 → Aug 27, 2010 · no shared issuer
SAM LEE — GA, 1 issuer, Mar 30, 2016 → Sep 15, 2016 · shares 1 issuer with this record
Sam Lee — TX, 1 issuer, Oct 15, 2021 → Oct 15, 2021 · no shared issuer
Sam H. Lee — CA, 1 issuer, Jul 2, 2009 → Nov 2, 2009 · no shared issuer

People around Sam 12

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

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

Person

Jane H. Hsiao

Director · 7 shared filings (2 issuers) · also on 6 other issuers

Jane H. Hsiao is on 8 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Phillip Frost

Director · 7 shared filings (2 issuers) · also on 6 other issuers

Phillip Frost is on 8 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Roger Kornberg

Director, Promoter · 6 shared filings (2 issuers) · also on 3 other issuers

Roger Kornberg is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Steven D. Rubin

Director · 5 shared filings (2 issuers) · also on 5 other issuers

Steven D. Rubin is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Gary L Wilcox

Executive Officer, Director, Promoter · 4 shared filings (1 issuer)

Listed on the same filings as Sam Lee. Their page shows their other deals.

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

Person

Gary Wilcox

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as Sam Lee. Their page shows their other deals.

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

Person

Gerald McGuire

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Sam Lee. Their page shows their other deals.

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

Person

Steven Rubin

Director · 2 shared filings (1 issuer) · also on 4 other issuers

Steven Rubin is on 5 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Raymond Schinazi

Director · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Sam Lee. Their page shows their other deals.

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

Person

David S. Block

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Sam Lee. Their page shows their other deals.

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

Person

James J. Martin

Executive Officer · 1 shared filing (1 issuer) · also on 5 other issuers

James J. Martin is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Paul Chang

Executive Officer, Director, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Sam Lee. Their page shows their other deals.

The team behind the deals

Sponsor group

Cocrystal

2 issuers · 21 filings · $10.5M reported sold · 2009–2017

CP Cocrystal Pharma, Inc. Pharmaceuticals · $5M sold · 2012 · listed
CD COCRYSTAL DISCOVERY INC Biotechnology · $7.68M sold · 2009 · listed

One team, 2 deal companies. Sam Lee is listed on 2 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 Sam Lee.

Same business address

3 other issuers file from the same address

NovAb, Inc. Tucker, GA · 2016
Guide Therapeutics, Inc. Tucker, GA · 2019
RFS Pharma, LLC Tucker, GA · 2014

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

Adviser registration (Form ADV)

None of the 3 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 Sam Lee 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 3 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Sam Lee is listed on: none on file. No website or social profile named in COCRYSTAL DISCOVERY INC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #326,872 of 374,652 in line (14 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 (Bothell, WA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

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Sam Lee

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Sam Lee's role changed at Cocrystal Pharma, Inc.: executive officer, director → executive officer

Sam Lee's role changed at COCRYSTAL DISCOVERY INC: executive officer, director, promoter → executive officer, director

No amendment in the last 12 months on an offering that may still be open — COCRYSTAL DISCOVERY INC (latest filing Oct 2, 2013)

No amendment in the last 12 months on an offering that may still be open — COCRYSTAL DISCOVERY INC (latest filing Oct 9, 2009)

Industry group changed between filings — Cocrystal Pharma, Inc.

Same name, different state: "Sam Lee" (TX) is a separate record

Same name, different state: "SAM LEE" (GA) is a separate record

Same name, different state: "Sam Lee" (CA) is a separate record

Same name, different state: "Sam H. Lee" (CA) is a separate record

Reported revenue range changed between filings — Cocrystal Pharma, Inc.

5. Money to insiders

Deals 3

People around Sam 12

The team behind the deals

3 other issuers file from the same address

Registrations and other filings

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person