Stephen Rose

Form D filed 42 days after the first sale — Stratos Genomics Inc. · Form D filed 21 days after the first sale — Singulex, Inc. · Form D filed 27 days after the first sale — Singulex, Inc. · Form D filed 17 days after the first sale — Singulex, Inc.

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

The Sep 14, 2010 filing says $3,968,291 offered; the Jun 7, 2016 Form D/A says $4,520,502.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

The May 13, 2014 filing says $16,306,996 offered; the Jun 17, 2015 Form D/A says $29,999,975.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

The May 23, 2011 filing says $10,050,000 offered; the Aug 5, 2011 Form D/A says $10,050,502.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

No amendment in the last 12 months on an offering that may still be open — Stratos Genomics Inc. (latest filing Sep 6, 2013) · No amendment in the last 12 months on an offering that may still be open — Singulex, Inc. (latest filing Jun 7, 2013) · No amendment in the last 12 months on an offering that may still be open — Singulex, Inc. (latest filing Mar 15, 2012) · No amendment in the last 12 months on an offering that may still be open — Singulex, Inc. (latest filing Aug 5, 2011) · No amendment in the last 12 months on an offering that may still be open — Stratos Genomics Inc. (latest filing May 26, 2011)

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 Rose" on 8 filings (from May 23, 2011), and "Stephen L. Rose" on 2 filings (from Mar 15, 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.

This page covers filings where the address state is WA or WI. A separate record, "Stephen L. Rose" with address state GA or PA, is listed on 8 filings — most recently by MacuLogix, Inc. (Dec 14, 2021). The two records do not overlap in time: this page runs May 26, 2011 to Jan 9, 2018; the other runs Mar 13, 2019 to Dec 14, 2021.

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.

This page covers filings where the address state is WA or WI. A separate record, "Stephen R. Rose" with address state PA, is listed on 5 filings — most recently by MacuLogix, Inc. (Dec 31, 2018). Both records have filings in the same period (Feb 21, 2017 to Jan 9, 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 WA or WI. A separate record, "STEPHEN D. ROSE" with address state TX or CA, is listed on 7 filings — most recently by EP Global Production Solutions Investment, LLC (Jun 27, 2019). The two records do not overlap in time: this page runs May 26, 2011 to Jan 9, 2018; the other has one filing dated Dec 17, 2018.

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.

This page covers filings where the address state is WA or WI. A separate record, "Stephen Rose" with address state NH, is listed on 1 filing — most recently by Senet, Inc. (Oct 30, 2015). Both records have filings in the same period (Oct 30, 2015).

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.

WI on 4 filings (May 23, 2011 to Jun 7, 2013); WA on 6 filings (May 26, 2011 to Jan 9, 2018).

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.