Tom Kula is listed as a director on 2 SEC Form D filings by 1 issuer between Apr 2018 and May 2018: Phygen, LLC (Irvine, CA — biotechnology — 2018; $2M reported sold to 1 investors).
What this means One deal on file with the SEC, filed May 2018. 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 Amir David Tahernia (2 shared filings), Ben Guiot (2 shared filings), Frank Kuwamura (2 shared filings), Lee Kelley (2 shared filings), Mark Renfro (2 shared filings) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Tom. Each name links to their own page.
The issuer belongs to the sponsor group Atheronova (3 issuers, $1.05M reported sold, 2010–2018).
What this means A sponsor group is one team that sets up a new company for each deal. Atheronova has 3 companies on file and $1.05M 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) — 1 court case matching the name listed in Key records below.
What this means 1 record 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 2 public filings for Tom Kula and found 1 difference: No amendment in the last 12 months on an offering that may still be open.
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.