Current Report · Items 2.03, 9.01 · 8-K

Beneficient

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement

Filed Jul 7, 2026Accepted Jul 7, 2026, 4:15 PM EDTCIK 1775734Accession 0001493152-26-032323

Company context

We are a technology-enabled financial services company that provides simple, rapid, and cost-effective liquidity solutions and related trustee, custody and trust administrative services to participants in the alternative asset industry. Through our business line operating subsidiaries (each a “Ben Business Unit” and collectively, the “Ben Business Units”), Ben Liquidity, Ben Custody, and Ben Markets (each as defined below), we seek to provide solutions in the alternative asset investment market for individual and institutional investors, general partners and sponsors (“GPs”) and the alternative asset funds they manage (“Customers”). Following receipt of regulatory approval, our Ben Business Units are expected to include an additional business line, Ben Insurance Services. Our products and services are designed to meet the unmet needs of mid-to-high net worth (“MHNW”) individual investors, small-to-midsize institutional (“STMI”) investors, family offices (“FAMOs”) and GPs, which collectively are our Customers.

Current securities

BENFNASDAQ · EQUITY · Current BENFWNASDAQ · WARRANT · Current

Historical securities (4)

BENFNASDAQ · EQUITY · Historical · closed Jun 7, 2023 BENFNASDAQ · EQUITY · Historical · closed Oct 19, 2026 BENFWNASDAQ · WARRANT · Historical · closed Jun 7, 2023 BENFWNASDAQ · WARRANT · Historical · closed Oct 19, 2026

Recent company filings

Registered securities in this filing

Beneficient · 8-K · Filed 2026-07-07

As filed in this accession. Current/historical status below comes from the governed listing record; the cover itself remains exact to this filing.

Shares of Class A common stock, par value $0.001 per share

Symbol: BENF
Exchange: NASDAQ
Classification: COMMON

Filing context

Context: From2026-06-302026-06-30_custom_SharesOfClassCommonStockParValue0.001PerShareMember

Dimensions: us-gaap:StatementClassOfStockAxis

Warrants, each whole warrant exercisable for one share of Class A common stock, par value $0.001 per share

Symbol: BENFW
Exchange: NASDAQ
Classification: WARRANT

Filing context

Context: From2026-06-302026-06-30_custom_WarrantsEachWholeWarrantExercisableForOneShareOfClassCommonStockParValue0.001PerShareAndOneShareOfSeriesConvertiblePreferredStockParValue0.001PerShareMember

Dimensions: us-gaap:StatementClassOfStockAxis

Accession 000149315226032323 · 2 registered-security cover members

Read the exact SEC filing ↗

Disclosure sections

Items 2.03, 9.01

Select an item to read the extracted section. The as-filed document remains the primary evidence.

Item 9.01Item 9.01 - Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits. (d) Exhibits. Exhibit Description of Exhibit No. ──────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────────── 10.1* Standby Equity Purchase Agreement by and between Beneficient and YA II PN, Ltd., dated June 26, 2026 (refiled due to formatting issues). 10.2 Form of Promissory Note (incorporated by reference to Exhibit 4.12 to the Company’s Annual Report on Form 10-K filed with the Securities and Exchange Commission on June 30, 2026). 104 Cover Page Interactive Data File (embedded within the Inline XBRL document). * Schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company agrees to furnish to the SEC a copy of any omitted schedule or exhibit upon request.

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