0000950170-24-072457.txt : 20240612 0000950170-24-072457.hdr.sgml : 20240612 20240612161504 ACCESSION NUMBER: 0000950170-24-072457 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20240612 DATE AS OF CHANGE: 20240612 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Silk James G. CENTRAL INDEX KEY: 0001978946 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41715 FILM NUMBER: 241038572 MAIL ADDRESS: STREET 1: 325 N. ST. PAUL STREET STREET 2: SUITE 4850 CITY: DALLAS STATE: TX ZIP: 75201 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Beneficient CENTRAL INDEX KEY: 0001775734 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] ORGANIZATION NAME: 02 Finance IRS NUMBER: 721573705 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 325 N. SAINT PAUL STREET STREET 2: SUITE 4850 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2144454705 MAIL ADDRESS: STREET 1: 325 N. SAINT PAUL STREET STREET 2: SUITE 4850 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: Beneficient Co Group, L.P. DATE OF NAME CHANGE: 20190503 5 1 ownership.xml 5 X0508 5 2023-03-31 true 0 1 0001775734 Beneficient BENF 0001978946 Silk James G. 325 N. SAINT PAUL STREET, SUITE 4850 DALLAS TX 75201 true true false false See Remarks false Class A Common Stock 2023-07-15 4 A false 1204 0 A 2365 D Class A Common Stock 2023-07-15 4 A false 964 0 A 3329 D The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024. Includes 1,204 shares of Class A common stock issuable upon the settlement of an award of 1,204 restricted stock units ("RSUs") granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to James G. Silk (the "Reporting Person") on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year. Includes 879 shares of Class A common stock issuable upon the settlement of an award of 704 restricted equity units ("REUs") granted to the Reporting Person pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan") on January 6, 2020. Such award of REUs to the Reporting Person vested 20% on the date of grant, and the remaining 80% in four equal annual instalments on January 6th of each subsequent calendar year. Includes 282 shares of Class A common stock issuable upon settlement of an award of 225 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person shall vest 40% on June 8, 2023, and the remaining 60% in three equal annual installments on April 1st of each subsequent calendar year. Includes 964 shares of Class A common stock of the Issuer issuable upon the settlement of an award of 964 RSUs granted pursuant to 2023 Equity Incentive Plan to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person fully vested on September 1, 2023. Chief Legal Officer and Executive Vice President /s/ James G. Silk 2024-06-12