Offerings // Artisan Partners Asset Management Inc.

APAM offering history

Every offering-related filing in Artisan Partners Asset Management Inc.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 799 filings back to Apr 6, 2011.

Last executed offering

Feb 25, 2021

424B5 — priced deal (shares or notes)

Last registration (announced)

Feb 18, 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 25, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 24, 2021	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Feb 21, 2020	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 19, 2020	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Feb 18, 2020	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Feb 26, 2018	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 22, 2018	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Feb 24, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 22, 2017	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Feb 22, 2017	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Mar 5, 2015	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Mar 3, 2015	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jan 27, 2015	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 16, 2014	424B7 →	UPDATE	Resale prospectus — existing holders registering to sell
Jun 13, 2014	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Apr 3, 2014	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 3, 2014	S-3ASR →	REGISTERED	Automatic shelf registration — effective immediately (large filers)
Apr 3, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 2, 2014	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Mar 19, 2014	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Mar 7, 2014	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Mar 6, 2014	S-1MEF →	REGISTERED	S-1MEF registration — capacity to sell shares, not a sale yet
Mar 6, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Mar 3, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jan 29, 2014	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Nov 1, 2013	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Oct 31, 2013	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 28, 2013	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Oct 16, 2013	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Mar 7, 2013	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Mar 6, 2013	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Mar 4, 2013	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 25, 2013	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 14, 2013	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jan 18, 2013	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 18, 2012	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 1, 2012	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Dec 29, 2011	RW →	WITHDRAWN	Registration withdrawn
Sep 12, 2011	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 11, 2011	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet

APAM 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 APAM workspace →

APAM offering FAQ

When did APAM last execute an offering?

Per SEC filings, Artisan Partners Asset Management Inc.'s most recent priced offering document is a 424B5 filed 2021-02-25. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did APAM last announce or register an offering?

The most recent registration is a S-3ASR filed 2020-02-18. 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.

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