Основная статистика
| CIK | 1775734 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Beneficient
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| August 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 18, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| August 22, 2025 |
Beneficient Receives Additional Nasdaq Listing Determination Exhibit 99.1 Beneficient Receives Additional Nasdaq Listing Determination DALLAS, August 22, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announced that on Aug |
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| August 19, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-41715 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: June 30, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on |
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| August 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 30, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| July 21, 2025 |
Beneficient Appoints Tom Hicks as Chairman and James Silk as Interim Chief Executive Officer Exhibit 99.1 Beneficient Appoints Tom Hicks as Chairman and James Silk as Interim Chief Executive Officer DALLAS, July 21, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform |
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| July 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 20, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| July 21, 2025 |
325 N Saint Paul Street Suite 4850 Dallas, Texas 75201 Exhibit 10.1 325 N Saint Paul Street Suite 4850 Dallas, Texas 75201 July 20, 2025 James G. Silk 5525 Willis Avenue Dallas, Texas 75206 Re: Appointment as Interim Chief Executive Officer Dear James: This letter agreement (this “Agreement”) is intended to document the terms and conditions between you (“You” or “Employee”) and Beneficient, a Nevada corporation (“Beneficient” or the “Company”) with re |
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| July 18, 2025 |
Beneficient Receives Nasdaq Listing Determination; Will Request Hearing Exhibit 99.1 Beneficient Receives Nasdaq Listing Determination; Will Request Hearing DALLAS, July 18, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announced th |
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| July 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 16, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| July 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-41715 (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Repo |
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| June 25, 2025 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES B-8 RESETTABLE CONVERTIBLE PREFERRED STOCK OF BENEFICIENT (Pursuant to NRS 78.1955) Beneficient, a corporation organized and existing under the laws of the State of Nevada (the “Corporation”), does hereby certify that, pursuant to the authority conferred on its board of directors (the “Board of Directors”) by its articles of incorporation (the “Arti |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 19, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| June 25, 2025 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES B-8 RESETTABLE CONVERTIBLE PREFERRED STOCK OF BENEFICIENT (Pursuant to NRS 78.1955) Beneficient, a corporation organized and existing under the laws of the State of Nevada (the “Corporation”), does hereby certify that, pursuant to the authority conferred on its board of directors (the “Board of Directors”) by its articles of incorporation (the “Arti |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 17, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| June 25, 2025 |
From: Michael Liftik <[*****]> Exhibit 99.1 From: Michael Liftik <[*****]> Sent: Thursday, June 19, 2025 11:40 AM To: McNally Edward E. <[*****]>; Kennedy Kathleen <[*****]>; Iason, Lawrence <[*****]>; Nabutovsky, Anna <[*****]>; Bunch, Nick <[*****]>; Giammittorio, Carrington <[*****]>; David Rost <[*****]> Cc: Ben O’Neil <[*****]>; James Tecce <[*****]> Subject: Brad Heppner Retirement Notice All — As we discussed with Ed and |
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| June 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 17, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| June 25, 2025 |
Beneficient Enters into $1.91 Million Primary Capital Transaction Exhibit 99.1 Beneficient Enters into $1.91 Million Primary Capital Transaction DALLAS, June 24, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announced |
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| June 25, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 16 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| June 25, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 17 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| June 25, 2025 |
Beneficient Enters into $1.91 Million Primary Capital Transaction Exhibit 99.1 Beneficient Enters into $1.91 Million Primary Capital Transaction DALLAS, June 24, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announced |
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| June 17, 2025 |
Beneficient Announces Court Approval of GWG Litigation Settlement Exhibit 99.1 Confidential Draft June 15, 2025 Beneficient Announces Court Approval of GWG Litigation Settlement DALLAS, June 17, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Beneficient,” “Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its propri |
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| June 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 17, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| June 17, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 15 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| June 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 3, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| June 10, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 14 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| June 4, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 13 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| June 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 29, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| May 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 25, 2025 |
Exhibit 3.1 |
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| April 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 21, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| April 25, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 12 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| April 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 21, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| April 25, 2025 |
Beneficient Enters into New GP Primary Capital Transaction Exhibit 99.1 Beneficient Enters into New GP Primary Capital Transaction DALLAS, April 25, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announced it ha |
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| April 25, 2025 |
Beneficient Enters into New GP Primary Capital Transaction Exhibit 99.1 Beneficient Enters into New GP Primary Capital Transaction DALLAS, April 25, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announced it ha |
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| April 25, 2025 |
Exhibit 3.1 |
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| April 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 4, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| April 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 4, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| April 7, 2025 |
Beneficient Enters into $9.6 Million GP Primary Capital Transaction Exhibit 99.1 Beneficient Enters into $9.6 Million GP Primary Capital Transaction DALLAS, April 7, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announc |
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| April 7, 2025 |
Beneficient Enters into $9.6 Million GP Primary Capital Transaction Exhibit 99.1 Beneficient Enters into $9.6 Million GP Primary Capital Transaction DALLAS, April 7, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today announc |
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| April 7, 2025 |
Exhibit 3.1 |
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| April 7, 2025 |
Exhibit 3.1 |
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| April 7, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 11 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| March 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| March 10, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 10 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement |
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| March 10, 2025 |
Beneficient Announces Agreement to Settle GWG Litigation Exhibit 99.1 Beneficient Announces Agreement to Settle GWG Litigation DALLAS, March 10, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Beneficient,” “Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform, AltAccess, today a |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 6, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| March 10, 2025 |
Beneficient Announces Agreement to Settle GWG Litigation EX-99.1 3 ex99-1.htm Exhibit 99.1 Beneficient Announces Agreement to Settle GWG Litigation DALLAS, March 10, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Beneficient,” “Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platfor |
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| March 10, 2025 |
Exhibit 10.1 SUBSCRIPTION AGREEMENT This Subscription Agreement (this “Agreement”) is effective as of [], 2025 (the “Effective Date”) entered into by and among Beneficient Company Holdings, Inc., a Delaware limited partnership (the “Partnership”), Hatteras Master Fund, LP, a Delaware limited partnership (the “Master Fund”), Beneficient Company Group, L.L.C., a Delaware limited liability company an |
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| March 10, 2025 |
Regulation FD Disclosure, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 6, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| March 10, 2025 |
Exhibit 10.1 SUBSCRIPTION AGREEMENT This Subscription Agreement (this “Agreement”) is effective as of [], 2025 (the “Effective Date”) entered into by and among Beneficient Company Holdings, Inc., a Delaware limited partnership (the “Partnership”), Hatteras Master Fund, LP, a Delaware limited partnership (the “Master Fund”), Beneficient Company Group, L.L.C., a Delaware limited liability company an |
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| February 28, 2025 |
Other Events, Shareholder Director Nominations UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 27, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| February 28, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 9 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement o |
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| February 18, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 8 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement o |
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| February 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41715 Beneficient (Exac |
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| February 14, 2025 |
Beneficient January 31, 2025 Attention: Greg Ezell, CFO 325 N. St. Paul Street Suite 4850 Dallas, Texas 75201 Mr. Ezell: HCLP Nominees, LLC (“HCLP”) is the lender with respect to the First-Lien Credit Agreement and the Second-Lien Credit Agreement with a subsidiary of Beneficient. On July 31, 2024, HCLP and Beneficient entered into a letter agreement regarding HCLP’s forbearance with respect to ex |
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| February 13, 2025 |
Exhibit 99.1 For Immediate Release BENEFICIENT REPORTS RESULTS FOR THIRD QUARTER FISCAL 2025 Announced Proposed Transaction to Increase Tangible Book Value to Ben Public Company Stockholders by $9 Million on 8.4 Million Shares Outstanding, Permanent Equity Increased by $35 Million Completed First Primary Capital Transaction as Part of Ongoing Business Development Activities Announced Proposed Inte |
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| February 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| February 13, 2025 |
Press Release of Beneficient issued February 13, 2025. Exhibit 99.1 For Immediate Release BENEFICIENT REPORTS RESULTS FOR THIRD QUARTER FISCAL 2025 Announced Proposed Transaction to Increase Tangible Book Value to Ben Public Company Stockholders by $9 Million on 8.4 Million Shares Outstanding, Permanent Equity Increased by $35 Million Completed First Primary Capital Transaction as Part of Ongoing Business Development Activities Announced Proposed Inte |
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| February 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 13, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or other jurisdiction of (Commission File Number) (IRS Employer incorporation) Identification No. |
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| February 13, 2025 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 13, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or other jurisdiction of (Commission File Number) (IRS Employer incorporation) Identification No. |
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| January 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 22, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| January 22, 2025 |
Investor Presentation of Beneficient. Exhibit 99.1 |
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| January 22, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 7 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement o |
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| January 17, 2025 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 13, 2025 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| January 6, 2025 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES B-5 RESETTABLE CONVERTIBLE PREFERRED STOCK OF BENEFICIENT (Pursuant to NRS 78.1955) Beneficient, a corporation organized and existing under the laws of the State of Nevada (the “Corporation”), does hereby certify that, pursuant to the authority conferred on its board of directors (the “Board of Directors”) by its articles of incorporation (the “Arti |
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| January 6, 2025 |
Beneficient Enters into $1.36 Million GP Primary Capital Transaction Exhibit 99.1 Beneficient Enters into $1.36 Million GP Primary Capital Transaction DALLAS, January 6, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today anno |
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| January 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 30, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| January 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 30, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| January 6, 2025 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 6 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement o |
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| January 6, 2025 |
Certificate of Designation of Series B-5 Resettable Convertible Preferred Stock. Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES B-5 RESETTABLE CONVERTIBLE PREFERRED STOCK OF BENEFICIENT (Pursuant to NRS 78.1955) Beneficient, a corporation organized and existing under the laws of the State of Nevada (the “Corporation”), does hereby certify that, pursuant to the authority conferred on its board of directors (the “Board of Directors”) by its articles of incorporation (the “Arti |
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| January 6, 2025 |
Press Release issued by Beneficient on January 6, 2025. Exhibit 99.1 Beneficient Enters into $1.36 Million GP Primary Capital Transaction DALLAS, January 6, 2025 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets through its proprietary online platform AltAccess, today anno |
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| December 26, 2024 |
Appendix A ADDITIONAL INFORMATION Reporting Person: Beneficient Holdings Inc. The name and present principal occupation or employment of each director and executive officer of Beneficient Holdings Inc. (“BHI”) is set forth below. The Highlands Business Holdings Trust (“HBH”) is the sole controlling person of BHI. The voting and economic shares of BHI are 100% owned by HBH and therefore, HBH may be |
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| December 23, 2024 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 5 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement o |
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| December 23, 2024 |
Exhibit 10.1 Execution Version MASTER AGREEMENT This Master Agreement (this “Agreement”) is made as of December 22, 2024 (the “Effective Date”) by and among Beneficient, a Nevada corporation (the “Company”), Beneficient Company Holdings, L.P., a Delaware limited partnership (“BCH”), Beneficient Company Group, L.L.C., a Delaware limited liability company and the sole general partner of BCH (“BCH GP |
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| December 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 22, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| December 23, 2024 |
Exhibit 10.1 Execution Version MASTER AGREEMENT This Master Agreement (this “Agreement”) is made as of December 22, 2024 (the “Effective Date”) by and among Beneficient, a Nevada corporation (the “Company”), Beneficient Company Holdings, L.P., a Delaware limited partnership (“BCH”), Beneficient Company Group, L.L.C., a Delaware limited liability company and the sole general partner of BCH (“BCH GP |
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| December 23, 2024 |
Exhibit 99.1 Beneficient Enters into Transactions to Deliver Tangible Book Value and Other Benefits to Beneficient Public Company Stockholders Provided by Entities Controlled by CEO & Founder, Brad Heppner, and Other Founders DALLAS, Dec. 23, 2024 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital s |
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| December 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 22, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| December 23, 2024 |
Press Release of Beneficient issued December 23, 2024. Exhibit 99.1 Beneficient Enters into Transactions to Deliver Tangible Book Value and Other Benefits to Beneficient Public Company Stockholders Provided by Entities Controlled by CEO & Founder, Brad Heppner, and Other Founders DALLAS, Dec. 23, 2024 (GLOBE NEWSWIRE) — Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital s |
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| December 6, 2024 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 4 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement o |
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| December 5, 2024 |
Exhibit 10.1 Execution Version SECURITY & GUARANTEE RELEASE AGREEMENT This Security & Guarantee Release Agreement (the “Release Agreement”) is entered into as of December 4, 2024 (the “Effective Date”) by and among Mercantile Global Holdings, Inc., a Delaware corporation (“MGH”), Mercantile Bank International Corp., a Puerto Rico corporation (“MBI”), Galaxy Digital Ventures LLC, a Delaware limited |
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| December 5, 2024 |
Exhibit 2.1 Execution Version STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (this “Agreement”) is dated as of December 4, 2024 (the “Effective Date”) by and among Beneficient, a Nevada corporation (“Beneficient”), Beneficient Capital Company Holdings, L.P., a Delaware limited partnership and subsidiary of Beneficient (the “Purchaser,” and together with Beneficient, the “Beneficient Partie |
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| December 5, 2024 |
on Form 8-K (File No. 001-41715) filed with the Securities and Exchange Commission on Exhibit 10.2 TRANSITION SERVICES AGREEMENT This Transition Services Agreement (the “Agreement”) effective as of December 4, 2024 (the “Effective Date”) by and among Beneficient, a Nevada corporation (“Beneficient”), Beneficient Capital Company Holdings, L.P., a Delaware limited partnership (“BCCH”), Mercantile Global Holdings, Inc., a Delaware corporation (“Service Provider”) and Mercantile Bank I |
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| December 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 4, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| December 5, 2024 |
Exhibit 99.1 Beneficient Enters into Agreement to Acquire Mercantile Bank International to Expand its Alternative Asset Custody Services Dallas, TX – December 5, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled platform providing exit opportunities and primary capital solutions and related trust and custody services to holders of alternative assets t |
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| December 4, 2024 |
Investor Presentation of Beneficient. Exhibit 99.1 |
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| December 4, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 4, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| November 26, 2024 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 3 (to Prospectus dated November 12, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 12, 2024, which forms a part of our Registration Statement o |
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| November 26, 2024 |
Exhibit 99.1 Beneficient Regains Compliance with NASDAQ Minimum Stockholders’ Equity Requirement and Audit Committee Requirement DALLAS, TX – November 26, 2024 – Beneficient (the “Company”) (Nasdaq: BENF), a technology-enabled platform providing liquidity and related trust and custody services to holders of alternative assets, today announced that it has received notice from The Nasdaq Stock Marke |
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| November 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 25, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| November 22, 2024 |
Beneficient Appoints Karen J. Wendel to Board of Directors Exhibit 99.1 Beneficient Appoints Karen J. Wendel to Board of Directors Dallas, TX – November 22, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled financial services holding company, today announced the appointment of Karen J. Wendel as an independent member of the Company’s Board of Directors as of November 21, 2024. In addition to being an independ |
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| November 22, 2024 |
Beneficient Consummates Transaction to Increase Permanent Equity by $35 Million Exhibit 99.2 Beneficient Consummates Transaction to Increase Permanent Equity by $35 Million Dallas, TX – November 22, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled financial services holding company announces that its subsidiary Beneficient Company Holdings, L.P. consummated a previously announced transaction pursuant to which approximately $35 m |
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| November 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 21, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| November 22, 2024 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 2 (to Prospectus dated November 14, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 14, 2024, which forms a part of our Registration Statement o |
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| November 15, 2024 |
203,212,927 Shares of Class A Common Stock Prospectus Supplement No. 1 (to Prospectus dated November 14, 2024) Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus supplement updates and supplements the prospectus of Beneficient, a Nevada corporation (the “Company,” “we,” “us” or “our”), dated November 14, 2024, which forms a part of our Registration Statement o |
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| November 14, 2024 |
US08178Q1195 / Beneficient / RIVERNORTH CAPITAL MANAGEMENT, LLC Passive Investment SC 13G 1 fp0090468-1sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 0)* Beneficient (Name of Issuer) Warrants, each whole warrant exercisable for one share of Class A common stock, par value $0.00 |
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| November 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2024 Commission File Number: 001-41715 Exact name of registrant as specified in its charter: Beneficient State or other jurisdiction of incorporation or organization: IRS Employer Identification No. |
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| November 14, 2024 |
203,212,927 Shares of Class A Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-281694 PROSPECTUS BENEFICIENT 203,212,927 Shares of Class A Common Stock This prospectus relates to the offer and sale, from time to time, by the selling holders identified in this prospectus (the “Selling Holders”), or their permitted transferees, of up to 203,212,927 shares of Class A common stock, par value $0.001 (“Class A common stock”) of |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41715 Beneficient (Exa |
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| November 14, 2024 |
For Immediate Release BENEFICIENT REPORTS RESULTS FOR SECOND QUARTER FISCAL 2025 Reports Second Quarter of Positive GAAP Net Income Maintains Cost Efficient Operating Profile Dallas, TX. |
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| November 14, 2024 |
US08178Q1195 / Beneficient / RIVERNORTH CAPITAL MANAGEMENT, LLC Passive Investment SC 13G/A 1 fp0091062-1sc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* Beneficient (Name of Issuer) Warrants, each whole warrant exercisable for one share of Class A common stock, par value $0 |
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| November 12, 2024 |
Beneficient 325 North St. Paul Street, Suite 4850 Dallas, Texas 75201 (214) 445-4700 Beneficient 325 North St. Paul Street, Suite 4850 Dallas, Texas 75201 (214) 445-4700 November 12, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F. Street, N.E. Washington, D.C. 20549 Attention: Robert Arzonetti and Tonya Aldave RE: Beneficient Amendment No. 3 on Form S-1 to Registration Statement on Form S-3 SEC File No. 333-281694 (the “Re |
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| November 8, 2024 |
Beneficient 325 North St. Paul Street, Suite 4850 Dallas, Texas 75201 (214) 445-4700 Beneficient 325 North St. Paul Street, Suite 4850 Dallas, Texas 75201 (214) 445-4700 November 8, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F. Street, N.E. Washington, D.C. 20549 Attention: Robert Arzonetti and Tonya Aldave RE: Beneficient Amendment No. 3 on Form S-1 to Registration Statement on Form S-3 SEC File No. 333-281694 (the “Reg |
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| November 8, 2024 |
As filed with the Securities and Exchange Commission on November 8, 2024. As filed with the Securities and Exchange Commission on November 8, 2024. Registration No. 333-281694 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM S-3 ON FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BENEFICIENT (Exact name of registrant as specified in its charter) Nevada 6199 72-1573705 (State or other Jurisdiction of Incorpor |
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| November 6, 2024 |
November 6, 2024 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Division of Corporation Finance Office of Finance Washington, D.C. 20549 Attention: Robert Arzonetti and Tonya Aldave Re: Beneficient Amendment No. 2 to the Registration Statement on Form S-3 Filed October 24, 2024 File No. 333-281694 Ladies and Gentlemen: On behalf of Beneficient (the “Company”), below is the re |
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| October 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 30, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| October 30, 2024 |
Investor Presentation of Beneficient. Exhibit 99.1 |
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| October 24, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) BENEFICIENT (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Share (3) Proposed 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 Class A common stock, par value $0. |
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| October 24, 2024 |
As filed with the Securities and Exchange Commission on October 24, 2024. As filed with the Securities and Exchange Commission on October 24, 2024. Registration No. 333-281694 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-3 ON FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BENEFICIENT (Exact name of registrant as specified in its charter) Nevada 6199 72-1573705 (State or other Jurisdiction of Incorpor |
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| October 24, 2024 |
Exhibit 10.16.16 Beneficient October 16, 2024 Attention: Grego Ezell, CFO 325 N. St. Paul Street Suite 4850 Dallas, Texas 75201 Mr. Ezell: HCLP Nominees, LLC (“HCLP”) is the lender with respect to the First-Lien Credit Agreement and the Second-Lien Credit Agreement with a subsidiary of Beneficient. On July 31, 2024, HCLP and Beneficient entered into a letter agreement regarding HCLP’s forbearance |
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| October 24, 2024 |
325 N. Saint Paul Street, Suite 4850 Dallas, Texas 75201 Beneficient 325 N. Saint Paul Street, Suite 4850 Dallas, Texas 75201 October 24, 2024 Via EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Beneficient Request to Withdraw Registration Statement on Form S-1 (File No. 333-282760) Ladies and Gentlemen: Pursuant to Rule 477 promulgated under the Securities Act of 1933, as amend |
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| October 22, 2024 |
As filed with the Securities and Exchange Commission on October 21, 2024. As filed with the Securities and Exchange Commission on October 21, 2024. Registration No. 333-281694 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-3 ON FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BENEFICIENT (Exact name of registrant as specified in its charter) Nevada 6199 72-1573705 (State or other Jurisdiction of Incorpor |
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| October 22, 2024 |
Exhibit 10.16.16 Beneficient October 16, 2024 Attention: Grego Ezell, CFO 325 N. St. Paul Street Suite 4850 Dallas, Texas 75201 Mr. Ezell: HCLP Nominees, LLC (“HCLP”) is the lender with respect to the First-Lien Credit Agreement and the Second-Lien Credit Agreement with a subsidiary of Beneficient. On July 31, 2024, HCLP and Beneficient entered into a letter agreement regarding HCLP’s forbearance |
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| October 22, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) BENEFICIENT (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Share (3) Proposed 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 Class A common stock, par value $0. |
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| October 21, 2024 |
October 21, 2024 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Division of Corporation Finance Office of Finance Washington, D.C. 20549 Attention: Robert Arzonetti and Tonya Aldave Re: Beneficient Amendment No. 1 to the Registration Statement on Form S-3 Filed September 24, 2024 File No. 333-281694 Ladies and Gentlemen: On behalf of Beneficient (the “Company”), below is the |
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| October 8, 2024 |
SC 13D/A 1 ea0217014-13da12gwgbenefi.htm AMENDMENT NO. 12 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 6120 |
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| October 4, 2024 |
Beneficient Appoints Patrick J. Donegan to Board of Directors Exhibit 99.1 Beneficient Appoints Patrick J. Donegan to Board of Directors Dallas, TX – October 4, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled financial services holding company, today announced the appointment of Patrick J. Donegan as an independent member of the Company’s Board of Directors as of September 30, 2024. In addition to being an ind |
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| October 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| October 4, 2024 |
Beneficient Consummates Transaction to Increase Permanent Equity by $126 Million Exhibit 99.2 Beneficient Consummates Transaction to Increase Permanent Equity by $126 Million Dallas, TX – October 4, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled financial services holding company announces that its subsidiary Beneficient Company Holdings, L.P. consummated a previously announced transaction pursuant to which approximately $126 m |
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| October 4, 2024 |
Exhibit 3.1 |
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| October 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| October 4, 2024 |
Exhibit 10.1 FIRST AMENDMENT TO THE NINTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF BENEFICIENT COMPANY HOLDINGS, L.P. This First Amendment to The Ninth Amended And Restated Limited Partnership Agreement of Beneficient Company Holdings, L.P. (the “Partnership”), dated as of September 30, 2024 (this “Amendment” and such Ninth Amended and Restated Limited Partnership Agreement, the “Agre |
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| September 24, 2024 |
Exhibit 10.6 CERTAIN INFORMATION, MARKED IN THIS EXHIBIT WITH BRACKETS, HAS BEEN EXCLUDED FROM THIS EXHIBIT IN RELIANCE ON REGULATION S-K, ITEM 601(B) (10)(IV) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS CONFIDENTIAL. Beneficient Subscription Agreement Thank you for considering an investment in Beneficient, a Nevada corporation. Here are the next ste |
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| September 24, 2024 |
Exhibit 10.5 CERTAIN INFORMATION, MARKED IN THIS EXHIBIT WITH BRACKETS, HAS BEEN EXCLUDED FROM THIS EXHIBIT IN RELIANCE ON REGULATION S-K, ITEM 601(B) (10)(IV) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS CONFIDENTIAL. Beneficient Subscription Agreement Thank you for considering an investment in Beneficient, a Nevada corporation. Here are the next ste |
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| September 24, 2024 |
September 24, 2024 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Division of Corporation Finance Office of Finance Washington, D.C. 20549 Attention: Robert Arzonetti and Tonya Aldave Re: Beneficient Registration Statement on Form S-3 Filed August 22, 2024 File No. 333-281694 Ladies and Gentlemen: On behalf of Beneficient (the “Company”), below is the response of the Company |
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| September 24, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) BENEFICIENT (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Share (3) Proposed 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 Class A common stock, par value $0. |
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| September 24, 2024 |
Exhibit 10.4 CERTAIN INFORMATION, MARKED IN THIS EXHIBIT WITH BRACKETS, HAS BEEN EXCLUDED FROM THIS EXHIBIT IN RELIANCE ON REGULATION S-K, ITEM 601(B) (10)(IV) BECAUSE SUCH INFORMATION IS BOTH NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS CONFIDENTIAL. Beneficient Subscription Agreement Thank you for considering an investment in Beneficient, a Nevada corporation. Here are the next ste |
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| September 24, 2024 |
Exhibit 10.8 September 17, 2024 Mendota Financial Company, LLC (d.b.a. Revelations Advisory) 3004 Vermillion Drive Plano, Texas 75093 Attn: Daniel Adashek RE: Subscription Agreement for Common Stock Mr. Adashek: In satisfaction of all outstanding amounts owed to Mendota Financial Company, LLC (d.b.a. Revelations Advisory) (the “Subscriber”) pursuant to that certain Consulting Agreement by and betw |
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| September 24, 2024 |
As filed with the Securities and Exchange Commission on September 24, 2024. S-3/A 1 forms-3a.htm As filed with the Securities and Exchange Commission on September 24, 2024. Registration No. 333-281694 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BENEFICIENT (Exact name of registrant as specified in its charter) Nevada 6199 72-1573705 (State or other Jurisdiction |
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| September 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| September 20, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024. As filed with the Securities and Exchange Commission on September 20, 2024. Registration No. 333-273326 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BENEFICIENT (Exact name of registrant as specified in its charter) Nevada 6199 72-1573705 (State or other Jurisdiction of Inc |
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| September 18, 2024 |
BENF / Beneficient / CANGANY PETER T JR Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* BENEFICIENT (Name of Issuer) Common Stock (Title of Class of Securities) 08178Q309 (CUSIP Number) September 11, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is |
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| September 12, 2024 |
Unregistered Sales of Equity Securities UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 11, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| September 10, 2024 |
SC 13D/A 1 ea0214092-13da11gwgbenefi.htm AMENDMENT NO. 11 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 6120 |
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| September 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| September 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 30, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| August 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 27, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, 700 Smith St. Houston, TX 77208-1209 (Name, Address and Telephone Numbe |
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| August 22, 2024 |
325 N. Saint Paul Street, Suite 4850 Dallas, Texas 75201 Beneficient 325 N. Saint Paul Street, Suite 4850 Dallas, Texas 75201 August 22, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington D.C. 20549 Re: Beneficient Registration Statement on Form S-3 (File No. 333-281694) filed on August 21, 2024 Ladies and Gentlemen: We are filing this letter in order to provide the staff of the Division of Co |
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| August 22, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) BENEFICIENT (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Share (2) Proposed 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 Class A common stock, par value $0. |
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| August 22, 2024 |
As filed with the Securities and Exchange Commission on August 21, 2024. As filed with the Securities and Exchange Commission on August 21, 2024. Registration No. 333 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 BENEFICIENT (Exact name of registrant as specified in its charter) Nevada 6199 72-1573705 (State or other Jurisdiction of Incorporation Or Organization) (Primary Stand |
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| August 21, 2024 |
Exhibit 10.1 EXECUTION VERSION AMENDMENT NO. 1 AND WAIVER NO. 1 TO CREDIT AND GUARANTY AGREEMENT AND EACH OTHER LOAN DOCUMENT AMENDMENT NO. 1 AND WAIVER NO. 1, dated as of August 16, 2024 (this “Amendment”), to (a) the Credit and Guaranty Agreement, dated as of October 19, 2023, among Beneficient Financing, L.L.C., a limited liability company formed under the laws of the State of Delaware (the “Bo |
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| August 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, 700 Smith St. Houston, TX 77208-1209 (Name, Address and Telephone Number |
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| August 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 16, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 15, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| August 15, 2024 |
Investor Presentation of Beneficient. Exhibit 99.1 |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, 700 Smith St. Houston, TX 77208-1209 (Name, Address and Telephone Number |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41715 Beneficient (Exact na |
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| August 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 14, 2024 Commission File Number: 001-41715 Exact name of registrant as specified in its charter: Beneficient State or other jurisdiction of incorporation or organization: IRS Employer Identification No. |
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| August 14, 2024 |
For Immediate Release BENEFICIENT REPORTS RESULTS FOR FIRST QUARTER FISCAL 2025 Maintained Cost Efficient Operating Profile New Machine Automated Pricing System Enhances Portfolio Growth Capabilities in Support of Multi-Billion Dollar Liquidity and Primary Capital Product Launch Dallas, TX. |
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| August 7, 2024 |
EX-99.1 Exhibit 99.1 For Immediate Release Beneficient Enters into Private Placement of $4.0 Million in Convertible Debentures and Warrants Priced At-The-Market under Nasdaq Rules Dallas, TX. – August 7, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled financial services holding company that provides liquidity, primary capital solutions and related t |
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| August 7, 2024 |
Exhibit 4.3 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of August 6, 2024 is made by and between YA II PN, LTD., a Cayman Islands exempt limited partnership (the “Investor”), and BENEFICIENT, a company incorporated under the laws of the State of Nevada (the “Company”). The Investor and the Company may be referred to herein individually as a “Party” |
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| August 7, 2024 |
EX-4.1 2 d879572dex41.htm EX-4.1 Exhibit 4.1 NEITHER THIS DEBENTURE NOR THE SECURITIES INTO WHICH THIS DEBENTURE IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE. THESE SECURITIES HAVE BEEN SOLD IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGL |
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| August 7, 2024 |
Exhibit 4.2 WARRANT THE SECURITIES REPRESENTED BY THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES HAVE BEEN ACQUIRED FOR INVESTMENT AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER THE SECURITIES ACT OF 1933, AS AMENDED |
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| August 7, 2024 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of August 6, 2024, is between BENEFICIENT, a company incorporated under the laws of the State of Nevada, with principal executive offices located at 325 North St. Paul Street, Suite 4850, Dallas, TX 75201 (the “Company”), and each of the investors listed on the Schedule of Buyers attached as |
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| August 7, 2024 |
Exhibit 10.2 GLOBAL GUARANTY AGREEMENT This Global Guaranty Agreement (this “Guaranty”) is made as of August 6, 2024 by the entities listed on Schedule I attached hereto (the “Guarantors”) in favor of YA II PN, LTD. (“YA II” or the “Creditor”), with respect to all obligations of BENEFICIENT an entity organized under the laws of Nevada (the “Debtor”) owed to the Creditor. RECITALS WHEREAS, the Cred |
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| August 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 5, 2024 Commission File Number: 001-41715 Exact name of registrant as specified in its charter: Beneficient State or other jurisdiction of incorporation or organization: IRS Employer Identification No. |
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| July 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 19, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| July 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 16, 2024 Commission File Number: 001-41715 Exact name of registrant as specified in its charter: Beneficient State or other jurisdiction of incorporation or organization: IRS Employer Identification No. |
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| July 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, 700 Smith St. Houston, TX 77208-1209 (Name, Address and Telephone Number |
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| July 9, 2024 |
NINTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF BENEFICIENT COMPANY HOLDINGS, L. |
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| July 9, 2024 |
Exhibit 97 Beneficient Compensation Recovery Policy (As adopted June 7, 2023) This Compensation Recovery Policy (this “Policy”) of Beneficient (the “Company”) is hereby adopted as of June 7, 2023 (the “Effective Date”) by the Compensation Committee (the “Committee”) of the Board of Directors of the Company (the “Board”) in compliance with Section 10D of the Securities Exchange Act of 1934 and Rule 5608 of the Nasdaq Listing Rules. |
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| July 9, 2024 |
Exhibit 4.6 DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED Description of Securities of Beneficient Pursuant to the terms of the Business Combination Agreement, on June 6, 2023, following a series of recapitalizations, The Beneficient Company Group, L.P. (“BCG”) converted from a Delaware limited partnership to a Nevada corporation (th |
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| July 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 9, 2024 Commission File Number: 001-41715 Exact name of registrant as specified in its charter: Beneficient State or other jurisdiction of incorporation or organization: IRS Employer Identification No. |
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| July 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41715 Beneficient (Exact name of r |
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| July 9, 2024 |
Exhibit 21 BENEFICIENT List of Subsidiaries Name Jurisdiction of Incorporation of Formation Beneficient Company Group, L. |
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| July 9, 2024 |
For Immediate Release Exhibit 99.1 BENEFICIENT REPORTS RESULTS FOR FOURTH QUARTER & FISCAL YEAR ENDED MARCH 31, 2024 Launched New Products and Services, Reduced Operating Costs and Improved Financial Position Expanded GP Solutions Program to Capitalize on Adjacent Market Growth Opportunities in Fiscal 2025 Dallas, TX. – July 9, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Compa |
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| July 9, 2024 |
Beneficient Insider Trading Policy Exhibit 19 BENEFICIENT INSIDER TRADING POLICY OVERVIEW This Insider Trading Policy (this “Policy”) describes the standards of Beneficient and its subsidiaries (the “Company”) on trading, and causing the trading of, the Company’s securities or securities of certain other publicly traded companies while in possession of confidential information. |
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| July 9, 2024 |
AMENDMENT TO SETTLEMENT AND RELEASE AGREEMENT This AMENDMENT TO SETTLEMENT AND RELEASE AGREEMENT (this “Amendment”) is dated as of May 9, 2024 (the “Effective Date”), by and between Beneficient (“Beneficient” or the “Company”) and Maxim Group LLC (“Maxim”). |
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| July 2, 2024 |
Exhibit 99.1 For Immediate Release BENEFICIENT ANNOUNCES TERMINATION OF SEC INVESTIGATION SEC Investigation Concluded, Company to Announce New Results Call Date Dallas, TX. – July 2, 2024 (GlobeNewswire) – Beneficient (NASDAQ: BENF) (“Ben” or the “Company”), a technology-enabled financial services holding company that provides liquidity, primary capital and related trust and custody services to ho |
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| July 2, 2024 |
Prospectus Supplement No. 13 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| July 2, 2024 |
Prospectus Supplement No. 13 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| July 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 1, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| July 2, 2024 |
Prospectus Supplement No. 13 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| July 2, 2024 |
Prospectus Supplement No. 13 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| July 2, 2024 |
Prospectus Supplement No. 13 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 13 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| July 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING Commission File Number: 001-41715 (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Repo |
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| June 21, 2024 |
Prospectus Supplement No. 12 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| June 21, 2024 |
Prospectus Supplement No. 12 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| June 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 20, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| June 21, 2024 |
Prospectus Supplement No. 12 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| June 21, 2024 |
Prospectus Supplement No. 12 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| June 21, 2024 |
Prospectus Supplement No. 12 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 12 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| June 10, 2024 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| May 31, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| May 3, 2024 |
Beneficient Regains Compliance with NASDAQ Minimum Bid Price Rule EX-99.1 Exhibit 99.1 Beneficient Regains Compliance with NASDAQ Minimum Bid Price Rule DALLAS – May 3, 2024 – Beneficient (the “Company”) (Nasdaq: BENF), a technology-enabled platform providing liquidity and related trust and custody services to holders of alternative assets through its proprietary online platform, AltAccess, today announced that it has received notice from The Nasdaq Stock Market |
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| May 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 3, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| May 1, 2024 |
Prospectus Supplement No. 11 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| May 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 1, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| May 1, 2024 |
Prospectus Supplement No. 11 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| May 1, 2024 |
EX-99.1 Exhibit 99.1 Unlocking the Value Trapped in Alternative Asset Investments Presented by: Brad Heppner, Founder & CEO Jeff Welday, Global Head of Originations and Distribution ® Liquidity The Ben Way: We've built a rapid, secure, online way for customers to exit alternative asset investments for cash, equity, or debt securities based on the customer’s individual liquidity needs. See importan |
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| May 1, 2024 |
Prospectus Supplement No. 11 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| May 1, 2024 |
Prospectus Supplement No. 11 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| May 1, 2024 |
Prospectus Supplement No. 11 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 11 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| April 17, 2024 |
BENF / Beneficient / GWG Wind Down Trust - AMENDMENT NO. 6 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, 700 Smith St. Houston, TX 77208-1209 (Name, Address and Telephone Number |
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| April 16, 2024 |
Prospectus Supplement No. 10 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| April 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 11, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| April 16, 2024 |
Prospectus Supplement No. 10 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| April 16, 2024 |
Exhibit 10.2 NINTH AMENDED AND RESTATED LIMITED PARTNERSHIP AGREEMENT OF BENEFICIENT COMPANY HOLDINGS, L.P. Effective as of April 18, 2024 THE PARTNERSHIP UNITS OF BENEFICIENT COMPANY HOLDINGS, L.P. HAVE NOT BEEN REGISTERED UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED, THE SECURITIES LAWS OF ANY STATE, PROVINCE OR ANY OTHER APPLICABLE SECURITIES LAWS AND ARE BEING SOLD IN RELIANCE UPON EXEMPT |
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| April 16, 2024 |
Exhibit 10.1 SECOND AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT OF BENEFICIENT COMPANY GROUP, L.L.C. A Delaware Limited Liability Company TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.1. Definitions 1 Section 1.2. Construction 10 ARTICLE II ORGANIZATION 10 Section 2.1. Member 10 Section 2.2. Formation 11 Section 2.3. Name 11 Section 2.4. Registered Office; Registered Agent; |
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| April 16, 2024 |
Prospectus Supplement No. 10 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| April 16, 2024 |
Beneficient Announces Reverse Stock Split to Regain Compliance with Nasdaq’s Minimum Bid Price Exhibit 99.1 Beneficient Announces Reverse Stock Split to Regain Compliance with Nasdaq’s Minimum Bid Price DALLAS – April 16, 2024 – Beneficient (Nasdaq: BENF), a technology-enabled platform providing liquidity and related trust and custody services to holders of alternative assets through its proprietary online platform, AltAccess, today announced a 1-for-80 reverse stock split (the “Reverse Sto |
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| April 16, 2024 |
424B3 Prospectus Supplement No. 10 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333- |
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| April 16, 2024 |
Exhibit 3.1 STATE OF NEVADA FRANCISCO V. AGUILAR Secretary of State Commercial Recordings Division 401 N. Carson Street Carson City, NV 89701 Telephone (775) 684-5708 Fax (775) 684-7138 DEPUTY BAKKEDAHL Deputy Secretary for Commercial Recordings OFFICE OF THE SECRETARY OF STATE North Las Vegas City Hall 2250 Las Vegas Blvd North, Suite 400 North Las Vegas, NV 89030 Telephone (702) 486-2880 Fax (70 |
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| April 16, 2024 |
Prospectus Supplement No. 10 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 10 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 |
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| April 11, 2024 |
BENF / Beneficient / GWG Wind Down Trust - AMENDMENT NO. 5 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, 700 Smith St. Houston, TX 77208-1209 (Name, Address and Telephone Number |
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| April 4, 2024 |
BENF / Beneficient / GWG Wind Down Trust - AMENDMENT NO. 4 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, 700 Smith St. Houston, TX 77208-1209 (Name, Address and Telephone Number |
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| March 28, 2024 |
Prospectus Supplement No. 8 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 4 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 28, 2024 |
424B3 Prospectus Supplement No. 9 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-2733 |
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| March 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 22, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| March 28, 2024 |
Prospectus Supplement No. 8 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 4 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 28, 2024 |
Prospectus Supplement No. 8 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 4 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 28, 2024 |
Prospectus Supplement No. 9 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 28, 2024 |
Prospectus Supplement No. 8 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 4 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 28, 2024 |
Exhibit 3.1 Filed in the Office of Business Number E32494422023-9 Filing Number 20243944911 Secretary of State Filed On 3/27/2024 9:09:00 AM State Of Nevada Number of Pages 5 FRANCISCO V. AGUILAR Secretary of State 401 North Carson Street Carson City, Nevada 89701-4201 (775) 684-5708 Website: www.nvsos.gov Certificate, Amendment or Withdrawal of Designation NRS 78.1955, 78.1955(6) Certificate of D |
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| March 28, 2024 |
424B3 Prospectus Supplement No. 8 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 8 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 4 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-2733 |
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| March 28, 2024 |
Prospectus Supplement No. 9 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 28, 2024 |
Prospectus Supplement No. 9 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 28, 2024 |
Prospectus Supplement No. 9 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 9 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 21, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| March 11, 2024 |
DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| March 7, 2024 |
Prospectus Supplement No. 7 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 3 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 6 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 6 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 6 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 7 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 3 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 1, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| March 7, 2024 |
Prospectus Supplement No. 7 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 3 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 7 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 3 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 6 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 6 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 6 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 7, 2024 |
Prospectus Supplement No. 7 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 7 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 3 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| March 6, 2024 |
Exhibit 10.1 ALTERNATIVE ASSET PURCHASE AGREEMENT This Alternative Asset Purchase Agreement (this “Agreement”) is entered into by and among Beneficient, a Nevada corporation (“Ben NV”), Beneficient Fiduciary Financial, L.L.C., a Kansas Technology-Enabled Fiduciary Financial Institution (“BFF,” and collectively with Ben NV, the “Ben Parties”), [ ] (“Buyer”), and [ ] (“Seller” and, collectively |
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| March 6, 2024 |
Exhibit 99.2 Beneficient Enters into New Liquidity Transaction with ff Venture Capital - Related liquidity transactions with three funds managed by ff Venture Capital, a leading investor in emerging industries, including fintech - With full participation from all limited partners, it is estimated Ben’s loan portfolio collateral will grow by up to $121.5 million - Upon closing and assuming full par |
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| March 6, 2024 |
Exhibit 99.1 CERTIFICATE OF DESIGNATION OF SERIES B-[] RESETTABLE CONVERTIBLE PREFERRED STOCK OF BENEFICIENT (Pursuant to NRS 78.1955) Beneficient, a corporation organized and existing under the laws of the State of Nevada (the “Corporation”), does hereby certify that, pursuant to the authority conferred on its board of directors (the “Board of Directors”) by its articles of incorporation (the “Ar |
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| March 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 6, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| March 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 6, 2024 Beneficient (Exact Name of Registrant as Specified in Charter) Nevada 001-41715 72-1573705 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I. |
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| March 4, 2024 |
BENF / Beneficient / GWG Wind Down Trust - AMENDMENT NO. 3 TO SCHEDULE 13D Activist Investment SC 13D/A 1 ea0201138-13da3gwgbenefi.htm AMENDMENT NO. 3 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3) Beneficient (Name of Issuer) Class A Common Stock, $0.001 par value (Title of Class of Securities) 08178Q101 (CUSIP Number) Elizabeth C. Freeman c/o GWG Wind Down Trust PO Box 61209, |
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| February 29, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (As Permitted by Rule 14a-6(e)(2)) ☐ Defi |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41715 Beneficient (Exac |
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| February 14, 2024 |
Prospectus Supplement No. 5 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| February 14, 2024 |
Prospectus Supplement No. 5 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
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| February 14, 2024 |
Prospectus Supplement No. 5 (to Prospectus dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 5 (to Prospectus, dated October 2, 2023) Prospectus Supplement No. 2 (to Prospectus, dated December 26, 2023) Filed Pursuant to Rule 424(b)(3) Registration No. 333-273328 Reg |
