Offerings // International Stem Cell CORP

ISCO offering history

Every offering-related filing in International Stem Cell CORP’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 825 filings back to Apr 4, 2006.

Last executed offering

Jan 23, 2019

8-K — priced deal (shares or notes)

Last registration (announced)

Apr 20, 2016

S-1 — 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
Jan 23, 2019	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Oct 3, 2018	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Mar 8, 2018	RW →	WITHDRAWN	Registration withdrawn
Dec 13, 2017	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 14, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 13, 2016	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Sep 19, 2016	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Aug 24, 2016	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jul 6, 2016	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 10, 2016	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
May 9, 2016	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 20, 2016	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Mar 10, 2016	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jan 12, 2016	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Dec 14, 2015	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 30, 2015	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Nov 25, 2015	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 2, 2015	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 13, 2015	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 11, 2015	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 24, 2015	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Apr 23, 2015	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Apr 15, 2015	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 15, 2015	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 23, 2015	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Feb 6, 2015	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Feb 6, 2015	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 16, 2015	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Dec 29, 2014	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Nov 25, 2014	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Nov 25, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 21, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 3, 2014	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Oct 8, 2014	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 12, 2014	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 22, 2014	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 10, 2014	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 10, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Mar 21, 2014	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 14, 2014	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital

ISCO 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 ISCO workspace →

ISCO offering FAQ

When did ISCO last execute an offering?

Per SEC filings, International Stem Cell CORP's most recent priced offering document is a 8-K filed 2019-01-23. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did ISCO last announce or register an offering?

The most recent registration is a S-1 filed 2016-04-20. 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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