Sponsor Check › Person
Related person on Form D filings · address states as listed: VA, MD, FL · listed Jun 29, 2009 → Apr 26, 2012
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 23, 2026, 11:56 PM ET · SEC enforcement last checked: not yet
Privacy: business-related public information only. Residential addresses are never shown; only the state from the filing.
The five facts investors ask about first. Each section states what was searched and when. Items still in human review are not shown.
None found in sources searched.
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. 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.
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. — not yet searched; 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: not yet searched.
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None found in sources searched.
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 23, 2026, 11:56 PM ET.
State courts: not yet searched. 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 are made for sponsors and sponsor groups, not individual people.
3 of 18 offerings report sales commissions totalling $4,209,715; 1 reports finder's fees totalling $1,800,000; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Dec 17, 2020 D File 021-383598 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Feb 11, 2020 D File 021-360300 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Mar 9, 2016 D File 021-258876 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Sep 21, 2015 D File 021-247962 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Mar 11, 2015 D File 021-235595 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Mar 9, 2015 D File 021-235429 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jan 28, 2015 D File 021-233047 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Aug 22, 2014 D File 021-223441 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 10, 2014 D File 021-215346 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | May 15, 2013 D/A File 021-193432 | $1,299,053 (est.) | $1,800,000 (est.) | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Barclays Capital Inc. BrokerCheck CRD 19714 ↗ Griffin Securities, Inc. BrokerCheck CRD 43229 ↗ |
| EDGAR ↗ | Nov 15, 2012 D File 021-186985 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Apr 26, 2012 D/A File 021-171468 | $310,000 (est.) | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Perella Weinberg Partners LP BrokerCheck CRD 138618 ↗ |
| EDGAR ↗ | Nov 14, 2011 D File 021-168645 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Sep 14, 2011 D File 021-165818 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jun 8, 2011 D File 021-160928 | $2,600,662 (est.) | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | Perella Weinberg Partners LP BrokerCheck CRD 138618 ↗ |
| EDGAR ↗ | May 11, 2011 D File 021-159583 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Apr 22, 2011 D/A File 021-87199 | $0 | $0 | $0 In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors. | None listed on this filing |
| EDGAR ↗ | Feb 9, 2011 D File 021-155088 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | PRECIGEN, INC. | Director | Dec 17, 2020 | D | $13,000,000 similar: $1,694,259–$16,000,000 | $13,000,000 | 2 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Feb 11, 2020 | D | $35,000,000 similar: $2,000,000–$19,999,994 | $35,000,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Mar 9, 2016 | D | $4,250,000 similar: $2,000,000–$19,999,994 | $4,250,000 | 2 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Sep 21, 2015 | D | $21,585,401 similar: $2,000,000–$19,999,994 | $21,585,401 | 20 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Mar 11, 2015 | D | $450,015 similar: $2,000,000–$19,999,994 | $450,015 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Mar 9, 2015 | D | $10,196,546 similar: $2,000,000–$19,999,994 | $10,196,546 | 78 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Jan 28, 2015 | D | $57,500,000 similar: $2,000,000–$19,999,994 | $57,500,000 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Aug 22, 2014 | D | $28,634,166 similar: $2,000,000–$19,999,994 | $28,634,166 | 5 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | Apr 10, 2014 | D | $24,999,943 similar: $2,000,000–$19,999,994 | $24,999,943 | 5 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | PRECIGEN, INC. | Director | May 15, 2013 | D/A | $150,000,000 | $150,000,000 | 82 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Mar 18, 2013 | D | $150,000,000 | $64,409,342 | 57 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Nov 15, 2012 | D | $25,000,002 | $25,000,002 | 16 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Apr 26, 2012 | D/A | $75,000,006 | $75,000,006 | 81 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Jan 24, 2012 | D/A | $50,000,003 | $50,000,003 | 42 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Jan 9, 2012 | D | $50,000,000 | $17,000,000 | 2 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Nov 14, 2011 | D | $1,092,344 | $1,092,344 | 17 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Sep 14, 2011 | D | $17,000,004 | $17,000,004 | 1 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Jun 8, 2011 | D | $91,825,055 | $91,825,055 | 58 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | May 11, 2011 | D | $550,001 | $550,001 | 1 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Apr 22, 2011 | D/A | $66,936,470 | $66,936,470 | 82 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Feb 18, 2011 | D/A | $55,953,968 | $55,953,968 | 82 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Feb 9, 2011 | D | $1,346,625 | $1,013,625 | 3 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Nov 12, 2010 | D/A | $37,506,714 | $37,506,714 | 65 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Mar 5, 2010 | D | $17,403,901 | $17,403,901 | 40 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Jan 5, 2010 | D | $25,000,000 | $25,000,000 | 2 | No minimum reported |
| EDGAR ↗ | PRECIGEN, INC. | Director | Jun 29, 2009 | D | $9,999,999 | $9,999,999 | 1 | No minimum reported |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pharmaceuticals / 506(b) (800 filings); 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.
Separate person records under the same name, not combined with this page. Each line says whether it is listed on an issuer this record is also listed on (a second identifier); where it is not, it could be the same person or a different one.
People and management entities the issuers listed as related persons on the same Form D filings as Steven Frank. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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