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S-3ASR Filing
Jefferies Financial (JEF) S-3ASRAutomatic shelf registration
Filed: 12 May 23, 4:25pm
Security Type | Security Class Title | Fee Calculation or Carry Forward Rule | Amount Registered | Proposed Maximum Offering Price Per Unit | Maximum Aggregate Offering Price | Fee Rate | Amount of Registration Fee | Carry Forward Form Type | Carry Forward File Number | Carry Forward Initial Effective Date | Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward | |||||||||||||
Newly Registered Securities | ||||||||||||||||||||||||
Fees to Be Paid | Equity | Common Shares, par value $1.00 per share | Rule 456(b) and Rule 457(r) | (1)(2) | (1)(2) | (1)(2) | (3) | (3) | ||||||||||||||||
Equity | Preferred Shares, par value $1.00 per share | Rule 456(b) and Rule 457(r) | (1)(2) | (1)(2) | (1)(2) | (3) | (3) | |||||||||||||||||
Debt | Debt Securities | Rule 456(b) and Rule 457(r) | (1)(2) | (1)(2) | (1)(2) | (3) | (3) | |||||||||||||||||
Other | Warrants | Rule 456(b) and Rule 457(r) | (1)(2) | (1)(2) | (1)(2) | (3) | (3) | |||||||||||||||||
Other | Purchase Contracts | Rule 456(b) and Rule 457(r) | (1)(2) | (1)(2) | (1)(2) | (3) | (3) | |||||||||||||||||
Other | Units | Rule 456(b) and Rule 457(r) | (1)(2) | (1)(2) | (1)(2) | (3) | (3) | |||||||||||||||||
Other | Debt securities of Jefferies Financial Group Inc.’s corporate predecessors | Rule 456(b) and Rule 457(r) | (1)(2) | (1)(2) | (1)(2) | (3) | (3) | |||||||||||||||||
Fees Previously Paid | N/A | N/A | N/A | N/A | N/A | N/A | N/A | |||||||||||||||||
Carry Forward Securities | ||||||||||||||||||||||||
Carry Forward Securities | Equity | Common Shares, par value $1.00 per share | Rule 415(a)(6) and 457(p) | 25,000,000 | $828,500,000 | S-3 | 333-238931 | June 4, 2020 | $91,300.70 | |||||||||||||||
Total Offering Amounts | N/A | N/A | ||||||||||||||||||||||
Total Fees Previously Paid | N/A | |||||||||||||||||||||||
Total Fee Offsets | $91,300.70 | |||||||||||||||||||||||
Net Fee Due | N/A |
Registrant or Filer Name | Form or Filing Type | File Number | Initial Filing Date | Filing Date | Fee Offset Claimed | Security Type Associated with Fee Offset Claimed | Security Title Associated with Fee Offset Claimed | Unsold Securities Associated with Fee Offset Claimed | Unsold Aggregate Offering Amount Associated with Fee Offset Claimed | Fee Paid with Fee Offset Source | ||||||||||||
Rules 457(b) and 0-11(a)(2) | ||||||||||||||||||||||
Fees Offset Claims | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | |||||||||||
Fees Offset Sources | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | N/A | |||||||||||
Rule 457(p) | ||||||||||||||||||||||
Fees Offset Claims | Jefferies Financial Group Inc. | S-3 | 333-238931 | June 4, 2020 | $91,300.70(4) | Equity | Common Shares, par value $1.00 per share | 25,000,000 | $828,500,000 | (1) | ||||||||||||
Fees Offset Sources | Jefferies Financial Group Inc. | 424(b)(5) | 333-238931 | November 1, 2022 | (1) |
(1) | An unspecified aggregate initial offering price and number or amount of the securities of each identified class is being registered as may from time to time be offered at unspecified prices. Separate consideration may or may not be received for securities that are issuable on exercise, conversion or exchange of other securities or that are issued in units. In accordance with Rules 456(b) and 457(r) under the Securities Act of 1933, as amended (the “Securities Act”), the issuer is deferring payment of all of the registration fee, except for $91,300.70 that may be offset pursuant to Rule 457(p) as described in footnote 4 below. In connection with the securities offered hereby, the issuer will pay “pay-as-you-go registration fees” in accordance with Rule 456(b) under the Securities Act, except with respect to the offset pursuant to Rule 457(p) as described in footnote 4. |
(2) | Includes an unspecified number of securities that may be offered or sold by direct or indirect subsidiaries of the issuer in market-making transactions. These securities consist of an indeterminate amount of such securities that are initially being registered, and will initially be offered and sold, under this Registration Statement and an indeterminate number or amount of such securities that were initially registered, and were initially offered and sold, under registration statements previously filed by Jefferies Financial Group Inc. and/or its corporate predecessors. All such market-making transactions with respect to these securities that are made pursuant to a registration statement after the effectiveness of this Registration Statement are being made solely pursuant to this Registration Statement. |
(3) | Pursuant to Rule 457(q) under the Securities Act, no separate registration fee is required for the registration of an indeterminate amount of securities to be offered solely for market-making purposes by direct or indirect subsidiaries of the issuer. |
(4) | The Registrant previously registered 25,000,000 of its Common Shares, par value $1.00 per share, having an aggregate offering price of up to $828,500,000 pursuant to a Registration Statement on Form S-3 No. 333-238931, filed on June 4, 2020 (the “Prior Registration Statement”), as supplemented by a Prospectus Supplement dated November 1, 2022, and paid a total registration fee of $91,300.70. Pursuant to Rule 457(p), $91,300.70 of the registration fees paid in connection with these unsold securities registered on the Prior Registration Statement is being applied to this Registration Statement. The offering of such unsold securities from the Prior Registration Statement has been terminated. |