Yi Liu is listed as an executive officer and director on 7 SEC Form D filings by 3 issuers between Mar 2015 and Aug 2021: Kura Oncology, Inc. (San Diego, CA — biotechnology — 2015; $150M reported sold to 356 investors), KURA OPERATIONS, INC. (La Jolla, CA — biotechnology — 2015; $60.4M reported sold to 337 investors) and Kumquat Biosciences Inc (San Diego, CA — biotechnology — 2019–2021; $55.9M reported sold to 13 investors).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as executive officer and director, over about 6 years. Across those companies the filings report $266.4M sold in total.
Listed alongside Carl L. Gordon (5 shared filings), Lynn Yang (5 shared filings), Pingda Ren (5 shared filings), Scott Platshon (3 shared filings), ANNETTE NORTH (2 shared filings) and 3 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Yi. Each name links to their own page.
2 of the issuers belong to the sponsor group Kura (3 issuers, $211.5M reported sold, 2013–2024).
What this means A sponsor group is one team that sets up a new company for each deal. Kura has 3 companies on file and $211.5M 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 (AZ, CA, DE, TX, WA) — 9 court cases matching the name, 7 bankruptcy cases matching the name listed in Key records below.
What this means 16 records came back, including 1 court case still open — open cases can take years and cost money. 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 7 public filings for Yi Liu and found 4 differences: Offering amount changed between filings; No amendment in the last 12 months on an offering that may still be open; 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.