SF offering history
Every offering-related filing in STIFEL FINANCIAL CORP’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to Jul 31, 2017.
| Date | Filing | What it means | |
|---|---|---|---|
| Sep 14, 2023 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Jul 16, 2021 | 424B2 → | EXECUTED | Prospectus supplement priced — shares or notes (large filers: often a bond deal) |
| Jul 15, 2021 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Jul 15, 2021 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| May 15, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| May 14, 2020 | 424B2 → | EXECUTED | Prospectus supplement priced — shares or notes (large filers: often a bond deal) |
| May 13, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| May 13, 2020 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| May 12, 2020 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| May 12, 2020 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| May 8, 2020 | S-3ASR → | REGISTERED | Automatic shelf registration — effective immediately (large filers) |
| Feb 25, 2019 | 424B2 → | EXECUTED | Prospectus supplement priced — shares or notes (large filers: often a bond deal) |
| Feb 21, 2019 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Feb 21, 2019 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| Jul 19, 2018 | 424B3 → | UPDATE | Prospectus update — often a resale registration, not necessarily new capital |
| Jul 18, 2018 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Sep 28, 2017 | FWP → | MARKETING | Free-writing prospectus — offering being marketed |
| Sep 28, 2017 | 424B2 → | EXECUTED | Prospectus supplement priced — shares or notes (large filers: often a bond deal) |
| Sep 27, 2017 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Sep 27, 2017 | 424B5 → | EXECUTED | Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm) |
| Aug 17, 2017 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Aug 16, 2017 | S-3/A → | REGISTERED | S-3/A registration — capacity to sell shares, not a sale yet |
| Aug 11, 2017 | S-3 → | REGISTERED | S-3 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.
SF offering FAQ
When did SF last execute an offering?
Per SEC filings, STIFEL FINANCIAL CORP's most recent priced offering document is a 424B2 filed 2021-07-16. Note a 424B takedown can price shares or notes (debt) — the linked document says which.
When did SF last announce or register an offering?
The most recent registration is a S-3ASR filed 2023-09-14. 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.
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