PEN offering history
Every offering-related filing in Penumbra Inc’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 956 filings back to Mar 23, 2005.
| Date | Filing | What it means | |
|---|---|---|---|
| Feb 23, 2023 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Oct 7, 2021 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Sep 22, 2021 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| May 28, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| May 27, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Feb 26, 2020 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Mar 17, 2017 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 15, 2017 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Mar 14, 2017 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Sep 18, 2015 | 424B4 → | EXECUTED | Final prospectus — offering priced (typical for IPOs and marketed share deals) |
| Sep 17, 2015 | S-1MEF → | REGISTERED | S-1MEF registration — capacity to sell shares, not a sale yet |
| Sep 17, 2015 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Sep 15, 2015 | S-1/A → | REGISTERED | S-1/A registration — capacity to sell shares, not a sale yet |
| Sep 8, 2015 | S-1/A → | REGISTERED | S-1/A registration — capacity to sell shares, not a sale yet |
| Aug 31, 2015 | S-1/A → | REGISTERED | S-1/A registration — capacity to sell shares, not a sale yet |
| Aug 14, 2015 | S-1 → | REGISTERED | S-1 registration — capacity to sell shares, not a sale yet |
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.
PEN offering FAQ
When did PEN last execute an offering?
Per SEC filings, Penumbra Inc's most recent priced offering document is a 8-K filed 2021-10-07. Note a 424B takedown can price shares or notes (debt) — the linked document says which.
When did PEN last announce or register an offering?
The most recent registration is a S-3ASR filed 2023-02-23. 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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