Thomas B. Neff is listed as a director on 6 SEC Form D filings by 1 issuer between Aug 2009 and Mar 2014: KOLLTAN PHARMACEUTICALS INC (New Haven, CT — biotechnology — 2009–2014; $60M reported sold to 54 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.
The issuer belongs to the sponsor group Overbrook (8 issuers, $662.5M reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Overbrook has 8 companies on file and $662.5M 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 (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 6 bankruptcy cases matching the name listed in Key records below.
What this means 6 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 6 public filings for Thomas B. Neff and found 13 differences, 3 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; 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.