0000950170-24-072173.txt : 20240611 0000950170-24-072173.hdr.sgml : 20240611 20240611194451 ACCESSION NUMBER: 0000950170-24-072173 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240607 FILED AS OF DATE: 20240611 DATE AS OF CHANGE: 20240611 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HICKS THOMAS O CENTRAL INDEX KEY: 0000938201 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-41715 FILM NUMBER: 241037218 MAIL ADDRESS: STREET 1: 2200 ROSS AVENUE STREET 2: SUITE 4600 W 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 4 1 ownership.xml 4 X0508 4 2024-06-07 0001775734 Beneficient BENF 0000938201 HICKS THOMAS O 325 N. SAINT PAUL STREET, SUITE 4850 DALLAS TX 75201 true false false false false Class A Common Stock 2024-06-07 4 F false 415 5.38 D 1979 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. Represents shares of Class A common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of restricted stock units ("RSUs") granted to Thomas O. Hicks (the "Reporting Person"). No shares were issued or sold in this transaction. Includes 643 shares of Class A common stock issuable upon the settlement of an award of 643 RSUs granted pursuant to Beneficient 2023 Equity Incentive Plan to 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 1,563 shares of Class A common stock issuable upon the settlement of an award of 938 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"). Such award of REUs to the Reporting Person fully vested on the date of grant, April 25, 2019. Includes 188 shares of Class A common stock issuable upon settlement of an award of 150 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. /s/ David B. Rost Attorney-in-fact for Thomas O. Hicks 2024-06-11