Offerings // APARTMENT INVESTMENT & MANAGEMENT CO

AIV offering history

Every offering-related filing in APARTMENT INVESTMENT & MANAGEMENT CO’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to Jan 27, 2012.

Last executed offering

Aug 17, 2016

8-K — priced deal (shares or notes)

Last registration (announced)

Feb 28, 2020

S-3ASR — capacity, not a sale

Executed, last 12 months

424B pricings + 8-K 3.02 sales

Registered, last 12 months

S-1/S-3/F-series registrations

Date	Filing		What it means
Feb 28, 2020	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Apr 25, 2017	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Aug 17, 2016	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jan 14, 2015	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jan 12, 2015	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Nov 4, 2014	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 13, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 12, 2014	FWP →	MARKETING	Free-writing prospectus — offering being marketed
May 12, 2014	FWP →	MARKETING	Free-writing prospectus — offering being marketed
May 9, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Apr 9, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Apr 9, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Apr 8, 2014	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Apr 17, 2013	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 17, 2013	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jun 25, 2012	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Jun 20, 2012	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Jun 20, 2012	FWP →	MARKETING	Free-writing prospectus — offering being marketed
May 14, 2012	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 10, 2012	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 7, 2012	RW →	WITHDRAWN	Registration withdrawn
Feb 6, 2012	RW →	WITHDRAWN	Registration withdrawn

AIV offering-related filings from SEC EDGAR, newest first (capped at 40). Each links to the original document.

Two honest limits. (1) A 424B takedown can price shares or notes— EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.

Is a shelf active now? →Do they need money? →Red flags →Full AIV workspace →

AIV offering FAQ

When did AIV last execute an offering?

Per SEC filings, APARTMENT INVESTMENT & MANAGEMENT CO's most recent priced offering document is a 8-K filed 2016-08-17. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did AIV last announce or register an offering?

The most recent registration is a S-3ASR filed 2020-02-28. A registration is capacity to sell shares — not a sale.

Does an offering always mean dilution?

Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.