SEC Form 4 · accession 0001493152-26-043788
Beneficient · BENF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Sep 18, 2026
Accepted (ET)
Sep 22, 2026 · 9:54 pm EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001775734
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A Common StockF1 | Sep 18, 2026 | A | 26,828 | $0.00 | A | 26,828 | D | |
| Class A Common StockF2 | holding | — | — | — | 11,560,705 | I | See Footnote | |
| Class A Common StockF3 | holding | — | — | — | 149,904 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 26,828 shares of Class A common stock, par value $0.001 ("Class A common stock"), of Beneficient (the "Issuer") issuable upon the settlement of an award of 26,828 restricted stock units ("RSUs") granted pursuant to the Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to Mack Hicks (the "Reporting Person") on September 18, 2026. Such award of RSUs to the Reporting Person fully vested on the date of grant.
- F2These shares of Class A common stock are held by Hicks Holdings Operating, LLC, a Delaware limited liability company ("Hicks Holdings"). Mack Hicks is the sole member of Hicks Holdings and has the power to vote and direct the disposition of such shares. Mr. Hicks disclaims beneficial ownership of any securities directly held by Hicks Holdings, except to the extent of his pecuniary interest in such securities.
- F3These shares of Class A common stock are directly held by HH-BDH, LLC ("HH-BDH"). Hicks Holdings is the sole member of HH-BDH. Mr. Hicks is the sole member of Hicks Holdings and has the power to vote and direct the disposition of such shares. Mr. Hicks disclaims beneficial ownership of any securities directly held by HH-BDH, except to the extent of his pecuniary interest in such securities.