| Date Filed | Type | Description |
| 10/02/2023 |
424B3
| Form 424B3 - Prospectus [Rule 424(b)(3)]: |
| 10/02/2023 |
424B3
| Form 424B3 - Prospectus [Rule 424(b)(3)]: |
| 10/02/2023 |
424B3
| Form 424B3 - Prospectus [Rule 424(b)(3)]: |
| 10/02/2023 |
424B3
| Form 424B3 - Prospectus [Rule 424(b)(3)]: |
| 10/02/2023 |
EFFECT
| Form EFFECT - Notice of Effectiveness: |
| 10/02/2023 |
EFFECT
| Form EFFECT - Notice of Effectiveness: |
| 10/02/2023 |
EFFECT
| Form EFFECT - Notice of Effectiveness: |
| 10/02/2023 |
EFFECT
| Form EFFECT - Notice of Effectiveness: |
| 08/15/2023 |
SC 13D/A
| GWG Wind Down Trust reports a 72.4% stake in Beneficient |
| 08/14/2023 |
10-Q
| Quarterly Report for the period ended June 30, 2023 |
| 08/14/2023 |
D
| Form D - Notice of Exempt Offering of Securities: |
| 08/11/2023 |
SC 13D
| Form SC 13D - General statement of acquisition of beneficial ownership: |
| 08/11/2023 |
3
| Form 3 - Initial statement of beneficial ownership of securities: |
| 08/11/2023 |
3
| Freeman Elizabeth C. (10% Owner) has filed a Form 3 on Beneficient |
| 08/02/2023 |
8-K
| Unregistered Sales of Equity Securities, Material Modifications to Rights of Security Holders, Amendments to Articles of Inco...|
Docs:
|
"UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549",
"Certificate of Designation of Series B-1 Resettable Convertible Preferred Stock",
"Beneficient Closes $38 Million Liquidity Transaction with Customer DALLAS, Aug. 02, 2023 — Beneficient , a technology-enabled platform providing liquidity and related trust and custody services to holders of alternative assets, today announced that it has consummated the financing of a liquidity transaction for a customer with respect to multi-family real estate alternative assets with a net asset value of approximately $38 million. Pursuant to the terms, Ben now holds a fiduciary loan with an initial principal balance of approximately $38 million to certain of the trusts of which its affiliate serves as trustee, which acquired alternative assets in exchange for 3,768,995 shares of Beneficient's Series B-1 Resettable Convertible Preferred Stock at a price of $10.00 of NAV per share . Each ..." |
|
| 08/01/2023 |
4
| Form 4 - Statement of changes in beneficial ownership of securities: |
| 07/19/2023 |
S-8
| Form S-8 - Securities to be offered to employees in employee benefit plans: |
| 07/19/2023 |
POS AM
| Form POS AM - Post-Effective amendments for registration statement: |
| 07/19/2023 |
S-1
| Form S-1 - General form for registration of securities under the Securities Act of 1933: |
| 07/19/2023 |
S-1
| Form S-1 - General form for registration of securities under the Securities Act of 1933: |
| 07/19/2023 |
S-1
| Form S-1 - General form for registration of securities under the Securities Act of 1933: |
| 07/13/2023 |
10-K
| Annual Report for the period ended March 31, 2023 |
| 07/11/2023 |
4
| GWG Holdings, Inc. (10% Owner) has filed a Form 4 on Beneficient|
Txns:
| Acquired 43,920,786 shares
@ $4.6593, valued at
$204.6M
Acquired 119,975 shares
@ $4.6593, valued at
$559k
Disposed of 43,920,786 options to buy
@ $0
Disposed of 119,975 options to buy
@ $0 |
|
| 07/07/2023 |
SC 13G
| Hatteras Funds, LLC reports a 26.2% stake in Beneficient |
| 07/03/2023 |
SC 13G
| YA II PN, Ltd. reports a 10% stake in Beneficient |
| 06/30/2023 |
NT 10-K
| Form NT 10-K - Notification of inability to timely file Form 10-K 405, 10-K, 10-KSB 405, 10-KSB, 10-KT, or 10-KT405: |
| 06/08/2023 |
8-K
| Appointed a new director|
Docs:
|
"EX-3.1(1)",
"EX-3.1(2)",
"Bylaws of Beneficient",
"EX-4.1(2)",
"First Amended and Restated Limited Liability Company Agreement of Beneficient Company Group, L.L.C.",
"Stockholders Agreement dated June 6, 2023, by and among Beneficient, Beneficient Holdings Inc., Hicks Holdings Operating, LLC and Bruce W. Schnitzer",
"Exchange Agreement dated June 7, 2023, by and among Beneficient, Beneficient Company Group, L.L.C. and Beneficient Company Holdings, L.P",
"Registration Rights Agreement, Beneficient, Beneficient Holdings Inc., Hicks Holdings Operating, LLC and Bruce W. Schnitzer, Avalon Acquisition Holdings, LLC",
"Eighth Amended and Restated Limited Partnership Agreement of Beneficient Company Holdings, L.P.",
"Amendment No. 6 to Second Amended and Restated Credit Agreement, by and among Beneficient Company Holdings, L.P., The Beneficient Company Group, L.P. and HCLP Nominees, L.L.C" |
|
| 06/07/2023 |
3
| GWG Holdings, Inc. (10% Owner) has filed a Form 3 on Beneficient |
| 06/07/2023 |
3
| Fletcher Derek L. (See Remarks) has filed a Form 3 on Beneficient |
| 06/07/2023 |
3
| HICKS THOMAS O (Director) has filed a Form 3 on Beneficient |
| 06/07/2023 |
3
| CANGANY PETER T JR (Director) has filed a Form 3 on Beneficient |
| 06/07/2023 |
3
| FISHER RICHARD W (Director) has filed a Form 3 on Beneficient |
| 06/07/2023 |
3
| Hikspoors Samuel (Chief Risk Officer) has filed a Form 3 on Beneficient |
| 06/07/2023 |
3
| Ezell Gregory W. (CFO) has filed a Form 3 on Beneficient |
|