Offerings // SWK Holdings Corp

SWKHL offering history

Every offering-related filing in SWK Holdings Corp’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 1,000 filings back to May 23, 2005.

Last executed offering

Sep 29, 2023

424B4 — priced deal (shares or notes)

Last registration (announced)

Sep 28, 2023

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
Apr 8, 2026	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Apr 8, 2026	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 29, 2023	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Sep 28, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Sep 28, 2023	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Sep 28, 2023	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Sep 26, 2023	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Sep 14, 2023	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
May 27, 2022	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
May 19, 2022	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Feb 19, 2020	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Feb 7, 2020	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Dec 8, 2014	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Nov 4, 2014	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 3, 2014	424B4 →	EXECUTED	Final prospectus — offering priced (typical for IPOs and marketed share deals)
Oct 24, 2014	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Oct 22, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Sep 29, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Sep 5, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Aug 19, 2014	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Jun 11, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
May 20, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Apr 23, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Apr 1, 2014	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Feb 13, 2014	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
Jan 8, 2008	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Jan 4, 2008	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Dec 10, 2007	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Nov 16, 2007	FWP →	MARKETING	Free-writing prospectus — offering being marketed
Nov 16, 2007	424B5 →	EXECUTED	Shelf takedown priced — shares or notes (small-caps: usually shares; open the filing to confirm)
Sep 17, 2007	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Aug 28, 2007	S-3 →	REGISTERED	S-3 registration — capacity to sell shares, not a sale yet
Jun 20, 2007	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Nov 13, 2006	424B3 →	UPDATE	Prospectus update — often a resale registration, not necessarily new capital
Nov 9, 2006	EFFECT →	EFFECTIVE	SEC declared a registration effective — selling can begin
Nov 7, 2006	S-1/A →	REGISTERED	S-1/A registration — capacity to sell shares, not a sale yet
Sep 11, 2006	S-1 →	REGISTERED	S-1 registration — capacity to sell shares, not a sale yet
May 11, 2006	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Oct 31, 2005	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)
Oct 3, 2005	8-K →	EXECUTED	Unregistered share sale disclosed (8-K item 3.02)

SWKHL 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 SWKHL workspace →

SWKHL offering FAQ

When did SWKHL last execute an offering?

Per SEC filings, SWK Holdings Corp's most recent priced offering document is a 424B4 filed 2023-09-29. Note a 424B takedown can price shares or notes (debt) — the linked document says which.

When did SWKHL last announce or register an offering?

The most recent registration is a S-1/A filed 2023-09-28. 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.