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Share dilution signals

SEC filings that mention at-the-market offerings, warrant inducements, registered direct offerings and securities purchase agreements — common signs of new shares being issued.

Small and mid-sized US companies often raise money by selling new shares, which dilutes existing holders. The filings use recognizable phrases: an "at-the-market offering" lets the company sell shares gradually into the market; a "registered direct offering" sells a block to selected investors; a "warrant inducement" offers warrant holders a lower price or new warrants to exercise early; a "securities purchase agreement" documents a private placement.

This scanner searches SEC full text for those phrases in 8-K, 6-K and prospectus filings over the past 90 days and groups the results by company. Repeated signals within a month are highlighted.

Compiled from public SEC EDGAR data. Times are US Eastern. Titles link to the original filing on sec.gov. Information only — not investment advice. Updated:

Dilution signals

FiledCompanyDocumentDetail
Nov 13Helus Pharma Inc. HELP6-KAt-the-market offering Registered direct offering
Nov 13Inuvo, Inc. INUV8-KRegistered direct offering
Nov 13Nakamoto Inc. NAKA424B5At-the-market offering
Nov 13Airwa Inc. YYAI8-KSecurities purchase agreement
Nov 13Newton Golf Company, Inc. NWTG8-KAt-the-market offering
Nov 13Callan Jmb Inc. CJMB8-KSecurities purchase agreement
Nov 13Aptera Motors Corp SEV8-KAt-the-market offering Registered direct offering Warrant inducement
Nov 13SDR Drone, Inc. SDCO8-KSecurities purchase agreement
Nov 13AIRO Group Holdings, Inc. AIRO8-KAt-the-market offering
Nov 13Accuray Inc ARAY8-KSecurities purchase agreement
Nov 13ASTROTECH Corp ASTC8-KAt-the-market offering
Nov 13Bio Key International Inc BKYI8-KWarrant inducement
Nov 13Immucell Corp ICCC8-KAt-the-market offering
Nov 13Seabridge Gold Inc SA6-KAt-the-market offering
Nov 13Tempest Therapeutics, Inc. TPST8-KWarrant inducement
Nov 13Singularity Future Technology Ltd. SGLY8-KSecurities purchase agreement
Nov 13Gaxos.ai Inc. GXAI8-KAt-the-market offering
Nov 13Valor Energy Inc VAI8-KSecurities purchase agreement
Nov 13Mingteng International Corp Inc. MTEN6-KAt-the-market offering Registered direct offering Securities purchase agreement
Nov 13ReTo Eco-Solutions, Inc. RETO6-KSecurities purchase agreement
Nov 13Evolution Metals & Technologies Corp. EMAT8-KSecurities purchase agreement
Nov 13Quantum Cyber N.V. QUCY8-KAt-the-market offering
Nov 13Nano-X Imaging Ltd. NNOX424B5Registered direct offering
Nov 13Beasley Broadcast Group Inc BBGI8-KRegistered direct offering
Nov 13Calidi Biotherapeutics, Inc. CLDI8-KRegistered direct offering
Nov 13IM Cannabis Corp. IMCC6-KRegistered direct offering Securities purchase agreement
Nov 13GH Research PLC GHRS6-KAt-the-market offering
Nov 13Contango Silver & Gold Inc. CTGO8-KAt-the-market offering
Nov 13Contango Silver & Gold Inc. CTGO424B5At-the-market offering
Nov 13HA Sustainable Infrastructure Capital, Inc. HASI8-KAt-the-market offering
Nov 13Interlink Electronics Inc LINK8-KAt-the-market offering
Nov 13Interlink Electronics Inc LINK424B5At-the-market offering
Nov 13Rezolute, Inc. RZLT424B5At-the-market offering
Nov 13INNOVATE Corp. VATE424B5At-the-market offering
Nov 13INNOVATE Corp. VATE8-KAt-the-market offering
Nov 12Sprott Physical Gold Trust PHYS6-KAt-the-market offering
Nov 12Sprott Physical Copper Trust SCOP6-KAt-the-market offering
Nov 12Sprott Physical Gold & Silver Trust CEF6-KAt-the-market offering
Nov 12Sprott Physical Platinum & Palladium Trust SPPP6-KAt-the-market offering
Nov 12Sprott Physical Silver Trust PSLV6-KAt-the-market offering
Nov 12Xos, Inc. XOS8-KAt-the-market offering
Nov 12Intrusion Inc INTZ8-KWarrant inducement
Nov 12Host Hotels & Resorts, Inc. HST8-KAt-the-market offering
Nov 12Enhanced Group Inc. ENHA8-KSecurities purchase agreement
Nov 12Stratasys Ltd. SSYS6-KSecurities purchase agreement
Nov 12Prime Medicine, Inc. PRME424B5At-the-market offering
Nov 12Solana Co HSDT8-KRegistered direct offering
Nov 12NeuroPace Inc NPCE8-KAt-the-market offering
Nov 12SHF Holdings, Inc. SHFS8-KSecurities purchase agreement
Nov 12InspireMD, Inc. NSPR424B5At-the-market offering
Nov 12Algorhythm Holdings, Inc. RIME8-KSecurities purchase agreement
Nov 12Sidus Space Inc. SIDU8-KSecurities purchase agreement
Nov 12Snail, Inc. SNAL8-KAt-the-market offering
Nov 12Nexgel, Inc. NXGL8-KRegistered direct offering Securities purchase agreement
Nov 12GT Biopharma, Inc. GTBP8-KSecurities purchase agreement
Nov 12BTCS Inc. BTCS8-KAt-the-market offering
Nov 12Gamehaus Holdings Inc. GMHS424B5At-the-market offering
Nov 12Gamehaus Holdings Inc. GMHS6-KAt-the-market offering
Nov 12A2z Cust2mate Solutions Corp. AZ6-KRegistered direct offering
Nov 12AtlasClear Holdings, Inc. ATCH8-KAt-the-market offering
Nov 12Hydrofarm Holdings Group, Inc. HYFM8-KRegistered direct offering
Nov 12CapsoVision, Inc CV8-KAt-the-market offering Registered direct offering Securities purchase agreement
Nov 12Aetherion Technologies Inc. AETR6-KSecurities purchase agreement
Nov 12OpenWorld, Inc. OPNW8-KRegistered direct offering
Nov 12Tenon Medical, Inc. TNON8-KAt-the-market offering Warrant inducement
Nov 12Azora Therapeutics, Inc. (DE) AZR8-KSecurities purchase agreement
Nov 12Nano-X Imaging Ltd. NNOX6-KAt-the-market offering
Nov 12Boxlight Corp BOXL8-KSecurities purchase agreement
Nov 12New ERA Energy & Digital, Inc. NUAI8-KAt-the-market offering
Nov 12Aptevo Therapeutics Inc. APVO8-KAt-the-market offering Warrant inducement Securities purchase agreement
Nov 12Fate Therapeutics Inc FATE424B5At-the-market offering
Nov 12Fox Corp FOXA424B5At-the-market offering
Nov 12SmartStop Self Storage REIT, Inc. SMA8-KAt-the-market offering
Nov 12Virgin Galactic Holdings, Inc SPCE8-KAt-the-market offering
Nov 12PepGen Inc. PEPG424B5At-the-market offering
Nov 12Virgin Galactic Holdings, Inc SPCE424B5At-the-market offering
Nov 12Candel Therapeutics, Inc. CADL8-KAt-the-market offering
Nov 12Candel Therapeutics, Inc. CADL424B5At-the-market offering
Nov 12Cardiff Oncology, Inc. CRDF8-KRegistered direct offering
Nov 12Vir Biotechnology, Inc. VIR424B5At-the-market offering

Frequently asked questions

Is dilution always bad?
It reduces each share's claim on the company, but the cash raised can fund growth or keep the company solvent. The price, size and use of proceeds matter.
What is an ATM offering?
An at-the-market program lets a company sell newly issued shares into the market over time through a sales agent.
Why are warrant inducements watched?
They usually mean the company needs cash soon and is willing to give holders better terms to get it.

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