Offerings // SolarMax Technology, Inc.

SMXT offering history

Every offering-related filing in SolarMax Technology, Inc.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 113 filings back to May 5, 2011.

Last executed offering

Nov 5, 2025

8-K — priced deal (shares or notes)

Last registration (announced)

Feb 9, 2024

S-1/A — 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
Nov 5, 2025	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Feb 28, 2024	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Feb 16, 2024	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Feb 12, 2024	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Feb 9, 2024	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 4, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 9, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Oct 12, 2023	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Oct 10, 2023	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Sep 11, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Aug 7, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 7, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
May 12, 2023	FWP →	MARKETING	Free-writing prospectus — offering being marketed
May 2, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jan 20, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 23, 2022	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Oct 28, 2022	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Aug 12, 2022	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 19, 2022	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Oct 28, 2020	RW →	WITHDRAWN	Registration withdrawn
Jan 16, 2020	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 20, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 4, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Nov 5, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Oct 15, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jul 10, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jun 17, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
May 1, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Dec 24, 2018	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet

SMXT 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 SMXT workspace →

SMXT offering FAQ

When did SMXT last execute an offering?

Per SEC filings, SolarMax Technology, Inc.'s most recent priced offering document is a 8-K filed 2025-11-05. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did SMXT last announce or register an offering?

The most recent registration is a S-1/A filed 2024-02-09. 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.