Offerings // Lument Finance Trust, Inc.

LFT offering history

Every offering-related filing in Lument Finance Trust, Inc.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 634 filings back to May 23, 2012.

Last executed offering

Feb 2, 2022

424B5 — priced deal (shares or notes)

Last registration (announced)

Jul 23, 2021

S-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 8, 2022	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Feb 2, 2022	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Feb 2, 2022	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jan 19, 2022	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Jan 7, 2022	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Aug 6, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 23, 2021	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Apr 30, 2021	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Apr 29, 2021	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Apr 28, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 26, 2021	S-11/A →	REGISTERED	S-11/A registration — capacity to sell shares, not a sale yet
Mar 29, 2021	S-11 →	REGISTERED	S-11 registration — capacity to sell shares, not a sale yet
Jan 6, 2020	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jan 18, 2018	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Oct 13, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jun 16, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jun 14, 2017	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jan 17, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 11, 2017	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Dec 21, 2016	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jul 20, 2016	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 7, 2016	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Apr 29, 2016	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Mar 23, 2016	RW →	WITHDRAWN	Registration withdrawn
Mar 23, 2016	RW →	WITHDRAWN	Registration withdrawn
Mar 23, 2016	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 11, 2015	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 28, 2015	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Feb 9, 2015	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Feb 5, 2015	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Aug 20, 2014	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jun 23, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jun 19, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 30, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 23, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 22, 2014	FWP →	MARKETING	Free-writing prospectus — offering being marketed
May 21, 2014	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
May 8, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 25, 2014	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Feb 20, 2014	424B1 →	EXECUTED	Prospectus supplement priced — shares or notes (large filers: often a bond deal)

LFT 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 LFT workspace →

LFT offering FAQ

When did LFT last execute an offering?

Per SEC filings, Lument Finance Trust, Inc.'s most recent priced offering document is a 424B5 filed 2022-02-02. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did LFT last announce or register an offering?

The most recent registration is a S-3 filed 2021-07-23. 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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