Offerings // RCI HOSPITALITY HOLDINGS, INC.

RICK offering history

Every offering-related filing in RCI HOSPITALITY HOLDINGS, INC.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 953 filings back to May 15, 1996.

Last executed offering

Dec 15, 2022

8-K — priced deal (shares or notes)

Last registration (announced)

May 14, 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
Dec 15, 2022	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Feb 9, 2022	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jul 28, 2021	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 3, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 14, 2021	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Apr 17, 2014	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 16, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 14, 2014	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Apr 2, 2014	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Mar 6, 2014	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Oct 18, 2013	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Sep 4, 2013	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 3, 2013	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jan 25, 2013	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 25, 2011	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 24, 2011	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 13, 2011	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jun 28, 2010	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Aug 11, 2009	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Oct 1, 2008	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Sep 30, 2008	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 10, 2008	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jun 17, 2008	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Feb 27, 2008	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Feb 27, 2008	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Feb 14, 2008	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Nov 20, 2007	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 7, 2007	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 5, 2007	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 18, 2007	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Apr 5, 2007	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Feb 21, 2007	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 3, 2007	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 27, 2006	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 23, 2006	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jun 21, 2006	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Jun 15, 2006	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
May 30, 2006	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 26, 2006	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 2, 2005	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital

RICK 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 RICK workspace →

RICK offering FAQ

When did RICK last execute an offering?

Per SEC filings, RCI HOSPITALITY HOLDINGS, INC.'s most recent priced offering document is a 8-K filed 2022-12-15. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did RICK last announce or register an offering?

The most recent registration is a S-3 filed 2021-05-14. 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.