Form 8-K - Current report
December 04 2024 - 5:06AM
Edgar (US Regulatory)
false
0001775734
0001775734
2024-12-04
2024-12-04
0001775734
BENF:SharesOfClassCommonStockParValue0.001PerShareMember
2024-12-04
2024-12-04
0001775734
BENF:WarrantsEachWholeWarrantExercisableForOneShareOfClassCommonStockParValue0.001PerShareAndOneShareOfSeriesConvertiblePreferredStockParValue0.001PerShareMember
2024-12-04
2024-12-04
iso4217:USD
xbrli:shares
iso4217:USD
xbrli:shares
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.R.S. Employer
Identification No.) |
325
North St. Paul Street, Suite 4850
Dallas,
Texas 75201
(Address
of Principal Executive Offices, and Zip Code)
(214)
445-4700
Registrant’s
Telephone Number, Including Area Code
N/A
(Former
Name or Former Address, if Changed Since Last Report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions (see General Instruction A.2. below):
|
☐ |
Written
communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|
|
|
|
☐ |
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
|
|
|
|
☐ |
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
|
|
|
|
☐ |
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class |
|
Trading Symbol(s) |
|
Name
of each exchange on which registered |
Shares
of Class A common stock, par value $0.001 per share |
|
BENF |
|
Nasdaq
Stock Market LLC |
Warrants,
each whole warrant exercisable for one share of Class A common stock, par value $0.001 per share, and one share of Series A convertible
preferred stock, par value $0.001 per share |
|
BENFW |
|
Nasdaq
Stock Market LLC |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this chapter).
Emerging
growth company ☒
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Item
7.01 Regulation FD Disclosure.
Beneficient
(the “Company”) is furnishing a copy of an investor presentation (the “Presentation”) that the Company intends
to use, in whole or in part, during the Company’s presentation at the Emerging Growth Conference on December 4, 2024. A copy of
the Presentation is attached hereto as Exhibit 99.1 and is incorporated by reference herein.
The
information contained in the Presentation is summary information that is intended to be considered in the context of the Company’s
Securities and Exchange Commission filings and other public announcements that the Company may make, by press release or otherwise, from
time to time. The Company undertakes no duty or obligation to publicly update or revise the information contained in the Presentation,
although it may do so from time to time as its management believes is warranted.
The
information in this Item 7.01 (including Exhibit 99.1) is being furnished pursuant to Item 7.01 and shall not be deemed to be “filed”
for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liabilities of that section,
nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as expressly set
forth in such filing.
Item
9.01 Exhibits and Financial Statements.
(d)
Exhibits.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its
behalf by the undersigned hereunto duly authorized.
|
BENEFICIENT
|
|
|
|
By: |
/s/
Gregory W. Ezell |
|
Name: |
Gregory
W. Ezell |
|
Title: |
Chief
Financial Officer |
|
|
|
Dated: |
December 4, 2024 |
Exhibit
99.1
v3.24.3
Cover
|
Dec. 04, 2024 |
Document Type |
8-K
|
Amendment Flag |
false
|
Document Period End Date |
Dec. 04, 2024
|
Entity File Number |
001-41715
|
Entity Registrant Name |
Beneficient
|
Entity Central Index Key |
0001775734
|
Entity Tax Identification Number |
72-1573705
|
Entity Incorporation, State or Country Code |
NV
|
Entity Address, Address Line One |
325
North St. Paul Street
|
Entity Address, Address Line Two |
Suite 4850
|
Entity Address, City or Town |
Dallas
|
Entity Address, State or Province |
TX
|
Entity Address, Postal Zip Code |
75201
|
City Area Code |
(214)
|
Local Phone Number |
445-4700
|
Written Communications |
false
|
Soliciting Material |
false
|
Pre-commencement Tender Offer |
false
|
Pre-commencement Issuer Tender Offer |
false
|
Entity Emerging Growth Company |
true
|
Elected Not To Use the Extended Transition Period |
false
|
Shares of Class A common stock, par value $0.001 per share |
|
Title of 12(b) Security |
Shares
of Class A common stock, par value $0.001 per share
|
Trading Symbol |
BENF
|
Security Exchange Name |
NASDAQ
|
Warrants, each whole warrant exercisable for one share of Class A common stock, par value $0.001 per share, and one share of Series A convertible preferred stock, par value $0.001 per share |
|
Title of 12(b) Security |
Warrants
|
Trading Symbol |
BENFW
|
Security Exchange Name |
NASDAQ
|
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