NINE 美股招股书 (2023 - 11 - 06 版)

424B51d860402d424b5.htm424B5 TableofContents PROSPECTUSSUPPLEMENT (toProspectusdatedJanuary5,2023) $30,000,000 FiledPursuanttoRule424(b)(5)RegistrationNo.333-268999 NineEnergyService,Inc. CommonStock Wehaveenteredintoanequitydistributionagreement(the“equitydistributionagreement”)withPiperSandler&Co.(the“salesagent”)relatingtosharesofourcommonstock,parvalue$0.01pershare(our“commonstock”),offeredbythisprospectussupplementandtheaccompanyingprospectus.Inaccordancewiththetermsoftheequitydistributionagreement,wemayofferandsellsharesofourcommonstockhavinganaggregateofferingpriceofupto$30,000,000fromtimetotimethroughthesalesagentpursuanttothisprospectussupplementandtheaccompanyingprospectus. OurcommonstockislistedontheNewYorkStockExchange(the“NYSE”)underthesymbol“NINE.”ThelastreportedsalepriceofourcommonstockontheNYSEonNovember3,2023was$3.63pershare. Salesofsharesofourcommonstock,ifany,pursuanttothisprospectussupplementandtheaccompanyingprospectusmaybemadeintransactionsthataredeemedtobe“atthemarketofferings”asdefinedby Rule415(a)(4)undertheSecuritiesActof1933,asamended(the“SecuritiesAct”),includingsalesmadedirectlyonorthroughtheNYSEoranyotherexistingtradingmarketforourcommonstock,orinnegotiatedtransactions.Thesalesagentisnotrequiredtosellanyspecificnumberordollaramountofsharesofourcommonstockbutwillusecommerciallyreasonableefforts,consistentwithitsnormaltradingandsalespractices,tosellsharesdesignatedbyusinaccordancewiththeequitydistributionagreement.Thereisnoarrangementforfundstobereceivedinanescrow,trustorsimilararrangement.Theofferingofourcommonstockpursuanttotheequitydistributionagreementwillterminateupontheearlierofthesaleofallsharessubjecttotheequitydistributionagreementortheterminationoftheequitydistributionagreementbyusorthesalesagentasprovidedtherein. Thesalesagentwillbeentitledtocompensationof3.0%ofthegrossproceedsofallsharesofourcommonstocksoldundertheequitydistributionagreement,asfurtherdescribedinthe“PlanofDistribution”sectionofthisprospectussupplement.Inconnectionwiththesaleofourcommonstockonourbehalf,thesalesagentwillbedeemedtobean“underwriter”withinthemeaningoftheSecuritiesAct,andthecompensationofthesalesagentwillbedeemedtobeunderwritingcommissionsordiscounts. Investinginourcommonstockinvolvesahighdegreeofrisk.Seethe“RiskFactors”sectionbeginningonpageS-3ofthisprospectussupplementforadiscussionofcertainrisksthatyoushouldconsiderinconnectionwithaninvestmentinourcommonstock. NeithertheSecuritiesandExchangeCommission(the“SEC”)noranystatesecuritiescommissionhasapprovedordisapprovedofthesesecuritiesorpassedupontheaccuracyoradequacyofthisprospectussupplementortheaccompanyingprospectus.Anyrepresentationtothecontraryisacriminaloffense. PiperSandler ThedateofthisprospectussupplementisNovember6,2023. TableofContents TABLEOFCONTENTS ProspectusSupplement ABOUTTHISPROSPECTUSSUPPLEMENTWHEREYOUCANFINDMOREINFORMATION INCORPORATIONOFCERTAININFORMATIONBYREFERENCECAUTIONARYNOTEREGARDINGFORWARD-LOOKINGSTATEMENTS PageS- ii S- iiS- iiiS- iv INDUSTRYANDMARKETDATAS-v S- TRADEMARKSANDTRADENAMESvi PROSPECTUSSUPPLEMENTSUMMARYS-1 RISKFACTORSS-3 USEOFPROCEEDSS-6 MATERIALU.S.FEDERALINCOMETAXCONSIDERATIONSFORNON-U.S.HOLDERSS-7 S- PLANOFDISTRIBUTION12 S- LEGALMATTERS13 S- EXPERTS13 Prospectus Pag e ABOUTTHISPROSPECTUS ii CAUTIONARYNOTEREGARDINGFORWARD-LOOKINGSTATEMENTS iii SUMMARY 1 RISKFACTORS 2 THESUBSIDIARYGUARANTORS 3 USEOFPROCEEDS 4 PLANOFDISTRIBUTION 5 DESCRIPTIONOFCOMMONSTOCK 7 DESCRIPTIONOFPREFERREDSTOCK 10 DESCRIPTIONOFDEBTSECURITIES 11 DESCRIPTIONOFWARRANTS 20 DESCRIPTIONOFRIGHTS 22 DESCRIPTIONOFUNITS 23 LEGALMATTERS 24 EXPERTS 24 WHEREYOUCANFINDMOREINFORMATION 24 INCORPORATIONOFCERTAININFORMATIONBYREFERENCE 24 S-i TableofContents ABOUTTHISPROSPECTUSSUPPLEMENT ThisprospectussupplementandtheaccompanyingprospectusarepartofaregistrationstatementthatwefiledwiththeSECusinga“shelf”registrationprocess.Weprovideinformationtoyouaboutthisofferingintwoseparatedocumentsthatareboundtogether:(i)thisprospectussupplement,whichdescribesthespecificdetailsregardingthisofferingand(ii)theaccompanyingprospectus,whichprovidesgeneralinformationregardingus,oursecuritiesandotherinformation,someofwhichmaynotapplytothethisoffering.Ifinformationinthisprospectussupplementisinconsistentwiththeaccompanyingprospectus,youshouldrelyonthisprospectussupplement.However,ifanystatementinoneofthesedocumentsisinconsistentwithastatementinadocumentincorporatedbyreferenceinthisprospectussupplementhavingalaterdate,thestatementinthedocumenthavingthelaterdatemodifiesorsupersedestheearlierstatementasourbusiness,financialcondition,resultsofoperationsandprospectsmayhavechangedsincetheearlierdate. Youshouldreadthisprospectussupplement,togetherwiththeaccompanyingprospectus,thedocumentsincorporatedbyreferenceinthisprospectussupplementandtheaccompanyingprospectusandanyfreewritingprospectusthatwehaveauthorizedforuseinconnectionwiththisofferingbeforemakinganinvestmentdecision.Youshouldalsoreadandconsidertheinformationinthedocumentsreferredtointhesectionsofthisprospectussupp