Beneficient Files 8-K: Regulation FD, Other Events, Financials

Ticker: BENFW · Form: 8-K · Filed: Sep 16, 2025 · CIK: 1775734

Sentiment: neutral

Topics: 8-K, regulation-fd, financials

Related Tickers: BENF

TL;DR

Beneficient dropped an 8-K on 9/9/25 covering Reg FD, other events, and financials. Check it out.

AI Summary

On September 9, 2025, Beneficient filed an 8-K report detailing events including a Regulation FD Disclosure, Other Events, and Financial Statements and Exhibits. The filing was made on September 16, 2025, and pertains to the company's operations as of September 9, 2025. Beneficient, incorporated in Nevada, is a finance services company based in Dallas, Texas.

Why It Matters

This 8-K filing provides crucial updates on Beneficient's regulatory disclosures, operational events, and financial status, offering insights into the company's current standing and compliance.

Risk Assessment

Risk Level: low — The filing is a standard 8-K reporting routine events and disclosures, not indicating any immediate or significant negative developments.

Key Players & Entities

FAQ

What specific events are covered under the 'Other Events' section of this 8-K filing?

The provided text does not specify the details of the 'Other Events' beyond listing it as an item information category.

What is the par value per share for Beneficient's common stock and series convertible preferred stock?

The par value for both Class Common Stock and Series Convertible Preferred Stock is $0.001 per share.

When was Beneficient previously known as Beneficient Co Group, L.P. and when did the name change occur?

Beneficient was formerly known as Beneficient Co Group, L.P., and the date of the name change was May 3, 2019.

What is Beneficient's fiscal year end?

Beneficient's fiscal year ends on March 31.

What is Beneficient's SIC code and industry classification?

Beneficient's Standard Industrial Classification (SIC) code is 6199, classified under Finance Services.

Filing Stats: 1,419 words · 6 min read · ~5 pages · Grade level 13.2 · Accepted 2025-09-16 07:45:40

Key Financial Figures

Filing Documents

01 Regulation FD Disclosure

Item 7.01 Regulation FD Disclosure. On September 16, 2025, Beneficient (the "Company") issued a press release announcing the Panel Determination (defined below). A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated by reference herein. 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 (the "Exchange Act"), 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 (the "Securities Act"), except as expressly set forth in such filing.

01 Other Events

Item 8.01 Other Events. On September 9, 2025, the Company was notified that the Nasdaq Hearings Panel (the "Panel") of The Nasdaq Stock Market LLC ("Nasdaq") had determined to grant the Company an extension to regain compliance with Nasdaq Listing Rules 5250(c)(1), 5550(a)(2) and 5560(a) (the "Periodic Filing Requirement," the "Bid Price Requirement," and the "Rights/Warrants Listing Requirement," respectively, and such determination, the "Panel Determination"). The Panel Determination follows a hearing held on August 26, 2025, at which the Panel considered the Company's plan to regain compliance with the Periodic Filing Requirement and the Bid Price Requirement. The Company continues to work diligently with its auditor to complete and file with the Securities and Exchange Commission ("SEC") its Annual Report on Form 10-K for the fiscal year ended March 31, 2025 and its Quarterly Report on Form 10-Q for the quarter ended June 30, 2025, and expects to do so within the extension period granted by the Panel. Additionally, to the extent the Company has not demonstrated compliance with the Bid Price Requirement, the Company expects to seek stockholder approval to effect a reverse stock split of its Class A common stock, par value $0.001 per share (the "Class A Common Stock"), and Class B common stock, $0.001 par value per share (the "Class B Common Stock" and, together with the Class A Common Stock, the "Common Stock"). The Company anticipates the reverse stock split of the Common Stock will allow it to demonstrate compliance with the Bid Price Requirement within the extension period granted by the Panel. Although the Company is taking definitive steps to evidence compliance with all applicable criteria for continued listing on The Nasdaq Capital Market, there can be no assurance that the Company will be able to timely regain compliance with the Periodic Filing Requirement and the Bid Price Requirement within the extension period granted by the Panel. As previo

01 Exhibits and Financial Statements

Item 9.01 Exhibits and Financial Statements. (d) Exhibits. Exhibit No. Description of Exhibit 99.1 Press Release issued by Beneficient on September 16, 2025. 104 Cover Page Interactive Data File (formatted as Inline XBRL).

SIGNATURES

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: September 16, 2025

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