Reference · 13 SEC forms

# The forms we track

Thirteen kinds of SEC filings make up the life of a share offering: registration, amendments, effectiveness, the final prospectus or a withdrawal — and, for companies that already report, shelves and their takedowns.

| Form | What it is | Rows since 2002 |
| --- | --- | --- |
| [S-1](https://equitycapital.markets/forms/S-1) Registration filed | Registration statement of a U.S. company offering securities. Used for initial public offerings, but also for resales by existing holders, small self-underwritten offerings and some debt. | 24,920 |
| [F-1](https://equitycapital.markets/forms/F-1) Registration filed | The same registration statement for a foreign private issuer. | 3,153 |
| [S-1/A](https://equitycapital.markets/forms/S-1-A) Amendment | Amendment to an S-1. In an IPO the later amendments usually add the price range and the number of shares. | 54,505 |
| [F-1/A](https://equitycapital.markets/forms/F-1-A) Amendment | Amendment to an F-1. | 8,163 |
| [DRS](https://equitycapital.markets/forms/DRS) Draft made public | Draft registration statement first submitted to the SEC confidentially. It becomes public before the roadshow; its registration number (377-…) differs from the one the public filing will get. | 6,840 |
| [EFFECT](https://equitycapital.markets/forms/EFFECT) Declared effective | SEC notice that a registration statement has been declared effective — from then on the securities may be sold. Notices cover every kind of registration, not only share offerings. | 146,086 |
| [424B4](https://equitycapital.markets/forms/424B4) Final prospectus | Final prospectus filed under Rule 424(b)(4) after pricing: the offering price and size are set. | 11,059 |
| [424B1](https://equitycapital.markets/forms/424B1) Final prospectus | Final prospectus filed under Rule 424(b)(1). Like a 424B4, it carries the final terms of the offering. | 3,220 |
| [RW](https://equitycapital.markets/forms/RW) Withdrawn | Request to withdraw a registration statement. The offering will not go ahead under that registration. | 11,566 |
| [S-3](https://equitycapital.markets/forms/S-3) Shelf registered | Shelf registration (short form) for a company that already reports to the SEC. Securities are registered now and sold later, in takedowns. | 34,959 |
| [S-3ASR](https://equitycapital.markets/forms/S-3ASR) Shelf registered | Automatic shelf registration for a well-known seasoned issuer. It is effective as soon as it is filed. | 44,001 |
| [F-3](https://equitycapital.markets/forms/F-3) Shelf registered | Shelf registration for a foreign private issuer. | 4,560 |
| [424B5](https://equitycapital.markets/forms/424B5) Shelf takedown | Prospectus supplement for a takedown from a shelf: a follow-on offering, an at-the-market programme or a debt issue. Takedowns are not only shares. | 138,900 |

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Source page: https://equitycapital.markets/forms · Data: U.S. SEC EDGAR · CC BY 4.0