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Browse terms140
Browse terms140

Core terms

Baby Shelf

The market-value limit in Form S-3 Instruction I.B.6 for certain issuers whose public float is below $75 million, measured across sales under that instruction during a rolling 12-month period.

Calculation framework

Rolling limit ≈ one-third of eligible non-affiliate public float − I.B.6 sales in the prior 12 monthsPublic float ≈ non-affiliate common shares × permitted reference price; use the filing's measurement rules

What traders should verify

Rebuild the float measurement date and price, non-affiliate share count, prior-12-month sales ledger, and any move above or below the $75 million threshold.

Do not conflate

It is a company-wide rolling constraint, not extra capacity on top of the shelf or ATM.

Primary source

Primary source

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