THOMAS MASON is listed as an executive officer, director, and promoter on 3 SEC Form D filings by 3 issuers between Jan 2017 and Dec 2023: OCuSOFT Contact Lenses, LLC (Rosenberg, TX — industry reported as "Other" — 2023), EKKDA RESEARCH, LLC (Kingsland, TX — pharmaceuticals — 2019) and ESSENTIA PHARMA SOCAL, LLC (Rosenberg, TX — pharmaceuticals — 2017).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer, director, and promoter, over about 6 years. Across those companies the filings report $0 sold in total.
Listed alongside TROY SMITH (3 shared filings), PAUL KARPECKI (2 shared filings), STACY FOSTER (2 shared filings), CHARLES HEWITT (1 shared filing), DOUG DEVRIES (1 shared filing) and 3 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around THOMAS. Each name links to their own page.
2 of the issuers belong to the sponsor group Essentia Pharma (7 issuers, $0 reported sold, 2009–2023).
What this means A sponsor group is one team that sets up a new company for each deal. Essentia Pharma has 7 companies on file and $0 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) — 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 3 public filings for THOMAS MASON and found 2 differences: Same name, different state: "Thomas Mason" (CA) is a separate record; Same name, different state: "Thomas Mason" (NH) is a separate record.
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.