Defendant Name:
K. Ivan Gothner
Defendant Type:
Individual
Initial Case Details
Legal Case Name
SEC v. AgFeed Industries
First Document Date
11-Mar-2014
Initial Filing Format
Civil Proceeding
Case Number
14-cv-00663
Allegation Type
Issuer Reporting and Disclosure
Federal District Court
Tennessee, Middle District of Tennessee
Affiliations
- Former: Director—Vice Chairman at AgFeed Industries, Inc. (July 2011—December 2011)
- Former: Director—Compensation Committee at AgFeed Industries, Inc. (December 2009—December 2011)
- Former: Director—Audit Committee at AgFeed Industries, Inc. (December 2009—December 2011)
- Former: Director—Member of nominating and corporate governance committees at AgFeed Industries, Inc. (December 2009—December 2011)
Violations Alleged
•
Sec 17(a) (Not specified)
•
Rules 13b2-1, 13b2-2 Exchange Act
Related Violations Alleged
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
K. Ivan Gothner is alleged to have controlled
AgFeed Industries, Inc. 's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Rule 12b-20 of the Exchange Act.
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 13(a) of the Exchange Act.
K. Ivan Gothner is alleged to have controlled
AgFeed Industries, Inc. 's violation of Sec 13(a) of the Exchange Act.
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Rule 13a-11 of the Exchange Act.
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Rule 13a-13 of the Exchange Act.
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Sec 13(b)(2)(B) of the Exchange Act.
K. Ivan Gothner is alleged to have aided and abetted
AgFeed Industries, Inc. 's violation of Section 13(b)(2) Exchange Act.
K. Ivan Gothner is alleged to have controlled
AgFeed Industries, Inc. 's violation of Section 13(b)(2) Exchange Act.
Resolutions
First Resolution Date
24-Mar-2017
Headline Total Penalty and Disgorgement
$18,105,000
Other Defendants in Action:
