William Griffin is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Mar 2009 and Jul 2009: StrongMail Systems Inc (Redwood Shores, CA — computers — 2009; $7.6M reported sold to 14 investors).
What this means One deal on file with the SEC, filed Jul 2009. 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 Mark Kvamme (2 shared filings), Michael Della Penna (2 shared filings), Sangam Pant (2 shared filings), Saverio Cece (2 shared filings), Venky Lindores Ganesan (2 shared filings, management entity) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around William. Each name links to their own page.
The issuer belongs to the sponsor group Gild (2 issuers, $21.1M reported sold, 2009–2014).
What this means A sponsor group is one team that sets up a new company for each deal. Gild has 2 companies on file and $21.1M 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) — 3 court cases matching the name, 2 SEC releases, 8 bankruptcy cases matching the name listed in Key records below.
What this means 13 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 2 public filings for William Griffin and found 9 differences, 1 worth asking the sponsor about: Regulator action: Matthew Carl Griffin and William Daniel Griffin (Nov 23, 2016); 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.