Offerings & Registrations

IPOs, secondary offerings, and registration statements

About This Category

The Offerings & Registrations category covers filings related to new securities being offered to the public. These include initial public offerings (IPOs), secondary offerings, and private placements.

Types of Offerings

  • IPOs (S-1) - When a private company first offers shares to the public
  • Secondary Offerings (S-3) - When a public company issues additional shares
  • Private Placements (Form D) - Securities sold to accredited investors without public registration

Forms in This Category

Click on any form to learn more about it and see the official SEC documentation.

Form Name Description SEC Link
S-1 Registration Statement (General) General form used to register securities for companies that have not previously registered with the SEC, commonly used for IPOs.
S-1/A Registration Statement Amendment Amendment to a previously filed Form S-1.
S-3 Registration Statement (Short Form) Simplified registration form for companies that meet certain requirements, allowing incorporation by reference to other SEC filings.
S-3/A Short Form Registration Amendment Amendment to a previously filed Form S-3.
S-4 Registration for Business Combinations Registration statement used for securities issued in business combinations (mergers, acquisitions, exchange offers).
S-4/A Business Combination Registration Amendment Amendment to a previously filed Form S-4.
S-8 Registration for Employee Benefit Plans Registration statement for securities to be offered to employees under benefit plans.
S-8/A Employee Benefit Plan Registration Amendment Amendment to a previously filed Form S-8.
S-11 REIT Registration Statement Registration statement for securities of real estate investment trusts (REITs) and other real estate companies.
S-11/A REIT Registration Amendment Amendment to a previously filed Form S-11.
F-1 Foreign Private Issuer Registration Registration statement for foreign private issuers, similar to Form S-1 but for non-U.S. companies.
F-1/A Foreign Registration Amendment Amendment to a previously filed Form F-1.
F-3 Foreign Private Issuer Short Form Simplified registration form for foreign private issuers that meet certain requirements.
F-3/A Foreign Short Form Amendment Amendment to a previously filed Form F-3.
F-4 Foreign Business Combination Registration Registration statement for foreign private issuers in business combinations.
F-4/A Foreign Business Combination Amendment Amendment to a previously filed Form F-4.
424B1 Prospectus - Rule 424(b)(1) Final prospectus filed pursuant to Rule 424(b)(1), typically used for underwritten offerings.
424B2 Prospectus - Rule 424(b)(2) Final prospectus filed pursuant to Rule 424(b)(2), used for shelf offerings with pricing information.
424B3 Prospectus - Rule 424(b)(3) Prospectus filed pursuant to Rule 424(b)(3), used for selling shareholder offerings.
424B4 Prospectus - Rule 424(b)(4) Final prospectus filed pursuant to Rule 424(b)(4), including pricing and underwriter information.
424B5 Prospectus - Rule 424(b)(5) Prospectus supplement filed pursuant to Rule 424(b)(5), typically for shelf takedowns.
D Notice of Exempt Offering Notice filed for offerings exempt from registration under Regulation D (private placements).
D/A Exempt Offering Notice Amendment Amendment to a previously filed Form D.
EFFECT Notice of Effectiveness Notice that a registration statement has become effective.
DRS Draft Registration Statement Confidential draft registration statement submitted for SEC review before public filing.
DRS/A Draft Registration Statement Amendment Amendment to a previously submitted draft registration statement.

Related Categories

Earnings & Financials

Annual and quarterly reports, current reports, and foreign issuer reports

Insider Transactions

Insider ownership and trading activity

Proxy & Governance

Proxy statements and shareholder voting materials

Ownership Reports

Major shareholder and institutional ownership filings