DLY offering history
Every offering-related filing in DoubleLine Yield Opportunities Fund’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 147 filings back to Sep 20, 2019.
| Date | Filing | What it means | |
|---|---|---|---|
| Nov 9, 2023 | 424B3 → | UPDATE | Prospectus update — often a resale registration, not necessarily new capital |
| Sep 29, 2023 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Sep 29, 2023 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Feb 25, 2020 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
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.
DLY offering FAQ
When did DLY last execute an offering?
Per SEC filings, DoubleLine Yield Opportunities Fund's most recent priced offering document is a 424B5 filed 2023-09-29. Note a 424B takedown can price shares or notes (debt) — the linked document says which.
When did DLY last announce or register an offering?
No offering registration (S-1/S-3/F-1/F-3) appears in the filings reviewed back to 2019-09-20.
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.