Form S-3

The SEC's short-form registration statement used by seasoned issuers to register securities for sale.

Definition

Form S-3 is a streamlined registration statement available to companies that meet certain reporting and market-cap criteria. It lets the issuer register a 'shelf' of securities to sell over a multi-year window, drawing down via prospectus supplements (424B-family) as needed.

S-3 shelf size, the named sales agents (Cantor, Jefferies, Roth, etc.), and the use-of-proceeds boilerplate are the key fields traders parse for structural-dilution signals.

Related terms

• Form 424B5
• ATM offering
• Shelf registration