Stuart Baker is listed as an executive officer and director on 5 SEC Form D filings by 1 issuer between Dec 2015 and Dec 2021: Navvis & Company, LLC (St. Louis, MO — other health care — 2015–2021; $80M reported sold to 1 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 DAWN OWENS (5 shared filings), Michael R. Farris (5 shared filings), Randall J. Combs (5 shared filings), Robert Bauer (5 shared filings), Timothy L. Elliott (5 shared filings) and 4 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Stuart. Each name links to their own page.
The issuer belongs to the sponsor group Navvis (2 issuers, $80M reported sold, 2015–2024).
What this means A sponsor group is one team that sets up a new company for each deal. Navvis has 2 companies on file and $80M 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) — 2 bankruptcy cases matching the name listed in Key records below.
What this means 2 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 5 public filings for Stuart Baker and found 6 differences: Form D filed 21 days after the first sale; Form D filed 53 days after the first sale; 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.