Offerings // NEPHROS INC

NEPH offering history

Every offering-related filing in NEPHROS INC’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to Dec 16, 2004.

Last executed offering

Jul 12, 2021

8-K — priced deal (shares or notes)

Last registration (announced)

May 10, 2024

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
May 23, 2024	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 10, 2024	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Sep 15, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Sep 14, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 7, 2021	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jul 12, 2021	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Oct 16, 2020	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Apr 10, 2020	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 31, 2020	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Dec 6, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 27, 2019	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Nov 6, 2019	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Oct 16, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 16, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 15, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 15, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 8, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 8, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 1, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 31, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 18, 2019	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
May 16, 2019	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 16, 2019	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 16, 2019	AW →	WITHDRAWN	Registration withdrawn
May 16, 2019	AW →	WITHDRAWN	Registration withdrawn
May 13, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 9, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 9, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 9, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 9, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 10, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 10, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 10, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Aug 10, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 25, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 22, 2018	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jun 20, 2018	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
May 22, 2018	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
May 9, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 9, 2018	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital

NEPH 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 NEPH workspace →

NEPH offering FAQ

When did NEPH last execute an offering?

Per SEC filings, NEPHROS INC's most recent priced offering document is a 8-K filed 2021-07-12. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did NEPH last announce or register an offering?

The most recent registration is a S-3 filed 2024-05-10. 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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