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Filing Details

Accession Number:: 0001493152-24-038629
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2024-09-27 18:03:41
Reporting Period:: 2024-09-20

Accepted Time:: 2024-09-27 18:03:41
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1775734	Beneficient	BENF	Finance Services (6199)	721573705

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1979628	S. Maria Rutledge	325 N. Saint Paul Street, Suite 2850 Dallas TX 75201	Chief Technology Officer	No	Yes	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Class A Common Stock	Acquisiton	2024-09-20	900	$1.11	2,540	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Footnotes

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 purchased by the Reporting Person's spouse.
Includes 482 shares of Class A common stock issuable upon the settlement of an award of 482 restricted stock units ("RSUs") granted pursuant to Beneficient 2023 Equity Incentive Plan ("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 1,094 shares of Class A common stock of the Issuer issuable upon the settlement of an award of 875 restricted equity units ("REUs") granted pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan") to the Reporting Person on January 1, 2020. Such award of REUs to the Reporting Person vested 40% on the date of grant, and the remaining 60% in three equal annual installments on August 14th of each subsequent calendar year.
Includes 102 shares of Class A common stock issuable upon settlement of an award of 81 REUs to the Reporting Person granted 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 386 shares of Class A common stock of the Issuer issuable upon the settlement of an award of 386 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.