Thomas J. Stephenson is listed as an executive officer, director, and promoter on 20 SEC Form D filings by 10 issuers between May 2009 and Jan 2022. Largest by amount reported sold: ALTELA, INC (Albuquerque, NM — business services — 2013; $10.3M reported sold to 5 investors), Pajarito Powder, LLC (Albuquerque, NM — other technology — 2012–2021; $9.44M reported sold to 24 investors), Verge II.5, L.P. (Albuquerque, NM — pooled investment fund — 2014–2016; $7.25M reported sold to 48 investors), TRUTOUCH TECHNOLOGIES, INC. (Riverside, CA — other technology — 2012–2017; $5.16M reported sold to 75 investors), Verge II.5X, L.P. (Albuquerque, NM — pooled investment fund — 2016; $2.5M reported sold to 1 investors) and 5 more (all listed below).
What this means That is a lot of deals — 10 separate companies raised money with this person listed as executive officer, director, and promoter, over about 13 years. Across those companies the filings report $37.4M sold in total.
Listed alongside William F. Bice (8 shared filings), Ron J McPhee (5 shared filings), R. David Franklin (4 shared filings), Richard Gill (4 shared filings), E. Larry Lujan (3 shared filings) and 37 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.
5 of the issuers belong to the sponsor group Verge (10 issuers, $13.7M reported sold, 2010–2020).
What this means A sponsor group is one team that sets up a new company for each deal. Verge has 10 companies on file and $13.7M 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) — 7 bankruptcy cases matching the name listed in Key records below.
What this means 7 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 20 public filings for Thomas J. Stephenson and found 18 differences: Form D filed 26 days after the first sale; Form D filed 45 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.