0001775734-23-000011.txt : 20230814 0001775734-23-000011.hdr.sgml : 20230814 20230814165900 ACCESSION NUMBER: 0001775734-23-000011 CONFORMED SUBMISSION TYPE: D PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20230814 DATE AS OF CHANGE: 20230814 EFFECTIVENESS DATE: 20230814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Beneficient CENTRAL INDEX KEY: 0001775734 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 721573705 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: D SEC ACT: 1933 Act SEC FILE NUMBER: 021-489688 FILM NUMBER: 231171660 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 D 1 primary_doc.xml X0708 D LIVE 0001775734 Beneficient 325 N. SAINT PAUL ST. SUITE 4850 DALLAS TX TEXAS 75201 2144454705 NEVADA Beneficient Co Group, L.P. Corporation true 2023 Brad K. Heppner 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Director Chief Executive Officer and Director Peter T. Cangany, Jr. 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Director James G. Silk 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Director Executive Vice President, Chief Legal Officer and Director Derek Fletcher 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Director Chief Fiduciary Officer, Director Jeff Welday 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Global Head of Originations and Distribution Gregory W. Ezell 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Chief Financial Officer Scott Wilson 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Chief Underwriting Officer Maria Rutledge 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Chief Technology Officer Samuel Hikspoors 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Executive Officer Chief Risk Officer Thomas O. Hicks 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Director Emily B. Hill 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Director Richard W. Fisher 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Director Bruce W. Schnitzer 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Director Dennis P. Lockhart 325 N. Saint Paul St. Suite 4850 Dallas TX TEXAS 75201 Director Other Banking and Financial Services Decline to Disclose 06b false 2023-08-01 true true true true false Issuer offered Convertible Preferred Stock and Warrants for alternative assets acquired by trusts consolidated with Issuer for financial statement purposes. 0 Beneficient Securities Company, L.P. 119441 None None 325 N. Saint Paul St. 26th Floor Dallas TX TEXAS 75201 AZ ARIZONA false 48525810 37689946 10835864 Issued 942,249 Warrants and 3,768,995 shares of Convertible Preferred Stock. The Warrants are fungible with the Issuer's existing Warrants. The Convertible Preferred Stock converts to Class A Common Stock at $5.46 subject to reset and a floor of $2.73. false 1 672766 true 0 Represents sales commissions earned by Beneficient Securities Company, L.P., as of August 1, 2023. 0 false Beneficient /s/ David B. Rost David B. Rost General Counsel 2023-08-14