Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · CA, MD, MA · Jun 16, 2011 → Jul 30, 2026
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Stephen Johnson is listed as a director on 12 SEC Form D filings by 5 issuers between Jun 2011 and Jul 2026: SOLYNDRA, INC. (Fremont, CA — other technology — 2011; $286M reported sold to 43 investors), Sauce Ventures, LLC (Costa Mesa, CA — retailing — 2024; $79.9M reported sold to 1 investors), FlexEnergy, Inc. (Irvine, CA — other energy — 2012; $18.7M reported sold to 8 investors), Ener-Core, Inc. (Irvine, CA — other energy — 2013–2014; $5M reported sold to 45 investors) and Parti Pris Investment Partners, Inc. (Morro Bay, CA — other technology — 2024–2026; $1.77M reported sold to 6 investors).
What this means A repeat sponsor — 5 separate companies raised money with this person listed as director, over about 15 years. Across those companies the filings report $391.4M sold in total.
Listed alongside Boris Maslov (7 shared filings), Michael J. Hammons (7 shared filings), Alain J. Castro (5 shared filings), Christopher Brown (5 shared filings), James M. Thorburn (4 shared filings) and 40 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Stephen. Each name links to their own page.
1 of the issuers belongs to the sponsor group Solyndra (2 issuers, $197.3M reported sold, 2009–2011).
What this means A sponsor group is one team that sets up a new company for each deal. Solyndra has 2 companies on file and $197.3M 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 (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 9 court cases matching the name, 29 bankruptcy cases matching the name listed in Key records below.
What this means 38 records came back, including 1 court case still open — open cases can take years and cost money. 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 12 public filings for Stephen Johnson and found 14 differences, 1 worth asking the sponsor about: 32% of the money raised went to insiders; 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.
Community search for Stephen Johnson has not run yet — it is joining a line of 23,919 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 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).
Five things investors ask first. Items still in human review are counted, not shown.
9 cases: 2 closed (disposition not in docket feed), 2 dismissed, 4 judgment, 1 open
Real Property: Foreclosure· Cause:
28:1444 Notice of Removal - Foreclosure
290 Real Property: Other· Cause:
28:2201 Declaratory Judgment
290 Real Property: Other· Cause:
15:1601 Truth in Lending
Real Property: Other· Cause:
28:1441 Notice of Removal -- Other Contract
Real Property: Other· Cause:
28:1332 Diversity-(Citizenship)
Environmental Matters· Cause:
33:1365 Environmental Matters
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, 2:16 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.
None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: VA (crawled Oct 23, 2026)
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 Stephen Johnson..
State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).
29 cases: 28 closed (disposition not in docket feed), 1 open
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, 2:16 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.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
14 differences found between the filings for Stephen Johnson — 1 worth asking about (compared 12 filings on Oct 24, 2026)
United States Bankruptcy Court, C.D. California docket "Boris A. Maslov" filed Jul 22, 2016, closed Oct 27, 2016. Boris Maslov (listed on the same filings) is listed as Debtor ("Boris A. Maslov"). Our match estimate: 65%.
What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.
The Feb 8, 2024 Form D reports $79,873,528 sold and $25,584,526 of the proceeds used for payments to officers, directors or promoters.
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
The Jan 5, 2012 Form D reports $5,000,000 sold and $800,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "Proceeds are for general working capital, a portion of which will be used for management compensation.".
What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.
The filing says the first sale was Jun 23, 2026. The Form D was filed Jul 30, 2026 — 37 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 22 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
The filing says the first sale was Jul 29, 2013. The Form D was filed Aug 14, 2013 — 16 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 1 days past that.
What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.
No amendment in the last 12 months on an offering that may still be open — Sauce Ventures, LLC (latest filing Feb 8, 2024) · No amendment in the last 12 months on an offering that may still be open — Ener-Core, Inc. (latest filing Aug 29, 2013) · No amendment in the last 12 months on an offering that may still be open — Ener-Core, Inc. (latest filing Jul 15, 2013) · No amendment in the last 12 months on an offering that may still be open — Ener-Core, Inc. (latest filing Jul 15, 2013) · No amendment in the last 12 months on an offering that may still be open — FlexEnergy, Inc. (latest filing Nov 21, 2012) · and 1 more
What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.
listed as "Stephen Johnson" on 7 filings (from Jun 16, 2011), and "Stephen L. Johnson" on 5 filings (from Jan 5, 2012).
What this means Same person, written differently — a middle name or suffix left off, or spelled another way. It is normal, but check that the full legal name matches your subscription documents.
The issuer's latest filing says it was formed in 2015. The Jul 15, 2013 filing says the first sale was Jul 1, 2013 — before that year.
What this means A company cannot sell before it exists, so one of the two dates is likely a typo on the form. Ask the sponsor for the formation document.
This page covers filings where the address state is CA or MD or MA. A separate record, "STEPHEN JOHNSON" with address state NY, is listed on 11 filings — most recently by INVESCO CREDIT PARTNERS (CAYMAN) L.P. (Jun 1, 2018). Both records have filings in the same period (Jun 16, 2011 to Jun 1, 2018).
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.
This page covers filings where the address state is CA or MD or MA. A separate record, "Stephen Johnson" with address state ME, is listed on 1 filing — most recently by Certify, LLC (Jan 10, 2014). Both records have filings in the same period (Jan 10, 2014).
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.
This page covers filings where the address state is CA or MD or MA. A separate record, "Stephen E. Johnson" with address state WI, is listed on 1 filing — most recently by Waupaca Bancorporation, Inc. (Oct 11, 2012). Both records have filings in the same period (Oct 11, 2012).
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.
This page covers filings where the address state is CA or MD or MA. A separate record, "Stephen W Johnson" with address state PA, is listed on 1 filing — most recently by Greenshale Energy LLC (Jun 27, 2012). Both records have filings in the same period (Jun 27, 2012).
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.
This page covers filings where the address state is CA or MD or MA. A separate record, "Stephen D. Johnson" with address state MS, is listed on 1 filing — most recently by SmartSynch, Inc. (Feb 23, 2011). The two records do not overlap in time: this page runs Jun 16, 2011 to Jul 30, 2026; the other has one filing dated Feb 23, 2011.
What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.
CA on 8 filings (Jun 16, 2011 to Jul 30, 2026); MD on 3 filings (Jul 15, 2013 to Aug 29, 2013); MA on 1 filing (Jul 15, 2013).
What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.
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.
3 of 10 offerings report sales commissions totalling $449,127; 0 report finder's fees; 3 report proceeds to related persons totalling $28,084,526. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Jul 30, 2026 D Parti Pris Investment Partners, Inc. File 021-592702 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Nov 5, 2025 D/A Parti Pris Investment Partners, Inc. File 021-529086 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Feb 8, 2024 D Sauce Ventures, LLC File 021-504718 | $0 | $0 | $25,584,526 | None listed on this filing | EDGAR ↗ |
| May 1, 2014 D Ener-Core, Inc. File 021-216601 | $111,515 (est.) | $0 | $0 | Roth Capital Partners, LLC BrokerCheck CRD 15407 ↗ | EDGAR ↗ |
| Aug 29, 2013 D/A Ener-Core, Inc. File 021-201368 | $24,800 | $0 | $0 Gross proceeds of the offering will be used for general corporate and working capital purposes. | Roth Capital Partners, LLC BrokerCheck CRD 15407 ↗ via Colorado Financial Service Corporation (CRD 104343 ↗) | EDGAR ↗ |
| Jul 15, 2013 D Ener-Core, Inc. File 021-199662 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
| Jul 15, 2013 D Ener-Core, Inc. File 021-199663 | $312,812 | $0 | $0 Gross proceeds of the offering will be used for general corporate and working capital purposes. | Roth Capital Partners, LLC BrokerCheck CRD 15407 ↗ via Colorado Financial Service Corporation (CRD 104343 ↗) | EDGAR ↗ |
| Nov 21, 2012 D FlexEnergy, Inc. File 021-187380 | $0 | $0 | $1,700,000 (est.) Proceeds are for general working capital, a portion of which will be used for management compensation. | None listed on this filing | EDGAR ↗ |
| Jan 5, 2012 D FlexEnergy, Inc. File 021-171188 | $0 | $0 | $800,000 (est.) Proceeds are for general working capital, a portion of which will be used for management compensation. | None listed on this filing | EDGAR ↗ |
| Jun 16, 2011 D/A SOLYNDRA, INC. File 021-161361 | $0 | $0 | $0 | None listed on this filing | EDGAR ↗ |
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).
Every issuer that named Stephen Johnson on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $1.77M from 6 investors (41% of the $4.3M target) as of the latest filing. Stephen is listed as director on 3 filings for this deal.
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: Other Technology / 506(b) (17,390 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.
Raised $79.9M from 1 investor (99% of the $81M target) as of the latest filing. Stephen is listed as director.
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: Retailing / 506(b) (959 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.
Raised $5M from 45 investors (100% of the $4.58M target) as of the latest filing. Stephen is listed as director on 5 filings for this deal.
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: Other Energy / 506(b) (1,000 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.
Raised $18.7M from 8 investors as of the latest filing. Stephen is listed as director on 2 filings for this deal.
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.
Raised $286M from 43 investors (100% of the $10.7M target) as of the latest filing. Stephen is listed as director.
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.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET. Showing the 40 with the most shared filings.
Michael J. Hammons is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Walter Schindler is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
David Prend is on 6 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
Listed on the same filings as Stephen Johnson. Their page shows their other deals.
One team, 2 deal companies. Stephen Johnson is listed on 1 of them.
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 Stephen Johnson.
A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.
None of the 5 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.
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 are matched to companies only, never to individuals, so none are matched to Stephen Johnson 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 5 issuers this person is listed on — nothing matched.
Websites and social links of the issuers Stephen Johnson is listed on: none on file. No website or social profile named in Sauce Ventures, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #106,468 of 374,652 in line (1,195 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Costa Mesa, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Stephen Johnson appears on a new Form D, or when a court case or SEC action is matched to them. See plans →