Offerings // SPRUCE POWER HOLDING CORP

SPRU offering history

Every offering-related filing in SPRUCE POWER HOLDING CORP’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 455 filings back to Apr 25, 2019.

Last executed offering

Dec 23, 2020

8-K — priced deal (shares or notes)

Last registration (announced)

Jan 14, 2021

S-1 — 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
Jan 17, 2023	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 10, 2022	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 14, 2022	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 25, 2022	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 1, 2022	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Feb 2, 2022	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 16, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 5, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 5, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Oct 28, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 13, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jul 21, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jun 1, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 18, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 18, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 18, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
May 11, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Apr 20, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 31, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Mar 4, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 28, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 22, 2021	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 22, 2021	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jan 14, 2021	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Dec 23, 2020	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Dec 8, 2020	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Dec 8, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 18, 2020	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jul 22, 2019	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jul 15, 2019	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Jul 11, 2019	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Jul 8, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jun 13, 2019	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Jun 7, 2019	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet

SPRU 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 SPRU workspace →

SPRU offering FAQ

When did SPRU last execute an offering?

Per SEC filings, SPRUCE POWER HOLDING CORP's most recent priced offering document is a 8-K filed 2020-12-23. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did SPRU last announce or register an offering?

The most recent registration is a S-1 filed 2021-01-14. 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.