Offerings // ALTERITY THERAPEUTICS LTD

ATHE offering history

Every offering-related filing in ALTERITY THERAPEUTICS LTD’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to Oct 22, 2007.

Last executed offering

Feb 15, 2024

424B5 — priced deal (shares or notes)

Last registration (announced)

Oct 2, 2023

F-3 — 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 15, 2024	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 25, 2023	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 2, 2023	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Jan 6, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 6, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 23, 2020	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Dec 16, 2020	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Nov 23, 2020	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 23, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 13, 2020	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Oct 9, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 5, 2020	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
May 22, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 21, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 13, 2019	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Apr 10, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 8, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Oct 20, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 10, 2017	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Oct 13, 2016	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Nov 26, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Nov 10, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 3, 2014	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Jul 24, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 30, 2013	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Aug 30, 2013	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Aug 30, 2013	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Sep 19, 2011	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jul 13, 2011	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 31, 2011	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 17, 2011	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Apr 21, 2011	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 21, 2011	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 8, 2011	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Oct 6, 2009	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 5, 2009	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 25, 2009	F-3 →	REGISTERED	F-3 registration — capacity to sell shares, not a sale yet
Aug 5, 2009	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 17, 2008	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 10, 2008	424B1 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)

ATHE 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 ATHE workspace →

ATHE offering FAQ

When did ATHE last execute an offering?

Per SEC filings, ALTERITY THERAPEUTICS LTD's most recent priced offering document is a 424B5 filed 2024-02-15. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did ATHE last announce or register an offering?

The most recent registration is a F-3 filed 2023-10-02. 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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