Offerings // Smart Sand, Inc.

SND offering history

Every offering-related filing in Smart Sand, Inc.’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 765 filings back to Sep 28, 2011.

Last executed offering

Nov 9, 2021

424B5 — priced deal (shares or notes)

Last registration (announced)

May 13, 2024

S-3/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
Jun 5, 2024	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 13, 2024	S-3/A →	REGISTERED	S-3/A registration — capacity to sell shares, not a sale yet
Jan 17, 2024	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Nov 9, 2021	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Jan 19, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 6, 2021	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Sep 18, 2020	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
May 14, 2018	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jan 8, 2018	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 11, 2017	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Feb 3, 2017	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Feb 1, 2017	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 1, 2017	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 1, 2017	S-1MEF →	REGISTERED	S-1MEF registration — capacity to sell shares, not a sale yet
Feb 1, 2017	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 13, 2017	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Nov 7, 2016	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Nov 4, 2016	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Nov 3, 2016	S-1MEF →	REGISTERED	S-1MEF registration — capacity to sell shares, not a sale yet
Nov 3, 2016	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 1, 2016	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Oct 25, 2016	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Oct 18, 2016	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Oct 6, 2016	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Sep 19, 2016	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet

SND 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 SND workspace →

SND offering FAQ

When did SND last execute an offering?

Per SEC filings, Smart Sand, Inc.'s most recent priced offering document is a 424B5 filed 2021-11-09. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did SND last announce or register an offering?

The most recent registration is a S-3/A filed 2024-05-13. 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.