Other Events. As previously announced, the Company has formulated and is implementing a comprehensive strategy intended to eliminate both the fraudulent indebtedness asserted by HCLP and the equity interests in the Company and its subsidiaries held by the Company’s former Chief Executive Officer, Brad Heppner, and his affiliated entities. The Company’s motion to intervene in litigation previously brought by HCLP against DTC furthers this strategy and seeks to invalidate the HCLP credit agreem…

Regulation FD Disclosure. On October 28, 2026, Beneficient (the “Company”) issued a press release announcing that the Company and certain of its subsidiaries filed a motion to intervene in the Delaware Court of Chancery litigation previously brought by HCLP Nominees, L.L.C. (“HCLP”) against Delaware Trust Company (“DTC”). 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 f…

Entry into a Material Definitive Agreement. As previously disclosed, on March 10, 2026, Beneficient Financing, L.L.C. (the “Borrower”), a wholly owned subsidiary of Beneficient, a Nevada corporation (the “Company”), and Beneficient Company Holdings, L.P., as guarantor (the “Guarantor” and together with the Borrower, the “Loan Parties”), entered into a letter agreement (the “Letter Agreement”) with HH-BDH, LLC (“HH-BDH”), which provided for the payment of the remaining interest and fees outsta…

Unregistered Sales of Equity Securities. On September 15, 2026, Beneficient (the “Company”) entered into subscription agreements with each of Peter T. Cangany, Jr., Derek L. Fletcher and James G. Silk, pursuant to which each of Messrs. Cangany, Fletcher and Silk purchased 18,868, 4,717 and 9,434 shares of the Company’s Class A common stock, par value $0.001 per share (the “Class A common stock”), respectively, at a price per share of $1.06 (such subscription agreements, collectively, the “Sub…

Results of Operations and Financial Conditions On August 14, 2026, Beneficient, a Nevada corporation, issued a press release announcing its financial results for the first quarter ended June 30, 2026. A copy of the press release is furnished as Exhibit 99.1 and is incorporated by reference herein. The information furnished pursuant to Item 2.02 (including Exhibit 99.1 hereto) shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (t…

Unregistered Sales of Equity Securities. On July 10, 2026, Beneficient, a Nevada corporation (the “Company”), through one of its subsidiaries, funded the closing of a primary capital transaction pursuant to definitive agreements entered into on July 8, 2026 with a customer with respect to a limited partner interest in an investment fund with a net asset value of $7.44 million (the “Transaction”). Pursuant to the Transaction, the Company’s customized trust vehicles acquired a limited partner i…

Material Modifications to Rights of Security Holders. The disclosure required by this

Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant. As previously disclosed, on June 27, 2023, Beneficient, a Nevada corporation (the “Company”), entered into a Standby Equity Purchase Agreement (the “SEPA”) with YA II PN, Ltd. (“Yorkville”), whereby the Company had the right, but not the obligation, to sell to Yorkville up to $250.0 million of Class A common stock, par value $0.001 per share (the “Class A common stock”), at the C…

Results of Operations and Financial Conditions On June 29, 2026, Beneficient, a Nevada corporation (the “Company”), issued a press release announcing its financial results for the fourth quarter and year ended March 31, 2026. A copy of the press release is furnished as Exhibit 99.1 and is incorporated by reference herein. The information furnished pursuant to Item 2.02 (including Exhibit 99.1 hereto) shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange A…

The filing is a signature page and does not contain any management change information.

Unregistered Sales of Equity Securities. On April 8, 2026, Beneficient, a Nevada corporation (the “Company”), through one of its subsidiaries, funded the closing of a primary capital transaction pursuant to definitive agreements entered into on April 7, 2026 with a customer with respect to a limited partner interest in an investment fund with a net asset value of $8.75 million (the “Transaction”). Pursuant to the Transaction, the Company’s customized trust vehicles acquired a limited partner…

Material Modifications to Rights of Security Holders. The disclosure required by this

The excerpt does not provide sufficient information to determine the nature of the event.

Entry into a Material Definitive Agreement. As previously disclosed, Beneficient Financing, L.L.C. (the “Borrower”), a wholly owned subsidiary of Beneficient, a Nevada corporation (the “Company”), and Beneficient Company Holdings, L.P., as guarantor (the “Guarantor” and together with the Borrower, the “Loan Parties”), are party to that certain Credit and Guaranty Agreement (as amended, the “Credit Agreement”), dated October 19, 2023, with HH-BDH, LLC (“HH-BDH”) acting as the lender. HH-BDH’s…

The HH-BDH Shares were issued in reliance on the exemption from registration requirements of the Securities Act of 1933, as amended (the “Securities Act”), as provided by Section 4(a)(2) thereof and Rule 506 of Regulation D promulgated thereunder.

Director — Mack Hicks: Mr. Mack Hicks was appointed as a director of the Company, bringing his extensive experience in private equity and real estate investments.

Results of Operations and Financial Conditions On February 17, 2026, Beneficient, a Nevada corporation, issued a press release announcing its financial results for the third quarter ended December 31, 2025. A copy of the press release is furnished as Exhibit 99.1 and is incorporated by reference herein. The information furnished pursuant to Item 2.02 (including Exhibit 99.1 hereto) shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amen…

Other Events. As previously announced on March 10, 2025, the Company entered into a binding settlement agreement to resolve all GWG-related claims brought in the District Court and the United States Bankruptcy Court for the Southern District of Texas (the “Bankruptcy Court” and such litigation, the “GWG Litigation”) for a sum within applicable insurance policy limits. The Bankruptcy Court previously approved the settlement in June 2025, and with the District Court’s approval, the settlement w…

Other Events. As previously disclosed, Beneficient Financing, L.L.C. (the “Borrower”), a wholly owned subsidiary of the Company, and Beneficient Company Holdings, L.P., as guarantor (the “Guarantor” and together with the Borrower, the “Loan Parties”), are party to that certain Credit and Guaranty Agreement (as amended, the “Hicks Holdings Credit Agreement”), dated October 19, 2023, with HH-BDH LLC, whose sole member is Hicks Holdings Operating, LLC, a Delaware limited liability company (“Hick…

Unregistered Sales of Equity Securities. Series B-9 Primary Capital Transaction On January 5, 2026, Beneficient, a Nevada corporation (the “Company”), through one of its subsidiaries, funded the closing of a primary capital transaction pursuant to definitive agreements entered into on December 31, 2025 with a customer with respect to a limited partner interest in an investment fund with a net asset value of $3,022,728 (the “Transaction”). Pursuant to the Transaction, the Company’s customized…

Material Modifications to Rights of Security Holders. The disclosure required by this

Material Modification to Rights of Security Holders. As previously disclosed, at the special meeting of stockholders of Beneficient (the “Company”) held on December 1, 2025, the Company obtained stockholder approval for a reverse stock split of the Company’s Class A common stock, par value $0.001 per share (the “Class A Common Stock”), and Class B common stock, par value $0.001 per share (the “Class B Common Stock” and together with the Class A Common Stock, the “Common Stock”) at a ratio in…

Results of Operations and Financial Conditions On November 14, 2025, Beneficient, a Nevada corporation, issued a press release announcing its financial results for the second quarter ended September 30, 2025. A copy of the press release is furnished as Exhibit 99.1 and is incorporated by reference herein. The information furnished pursuant to Item 2.02 (including Exhibit 99.1 hereto) shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as am…

Unregistered Sale of Equity Securities. On October 15, 2025, certain holders of Preferred Series A Subclass 1 Unit Accounts (“Preferred A-1 Unit Accounts”) of Beneficient Company Holdings, L.P. (“BCH”), a subsidiary of Beneficient (the “Company”), that were issued prior to the Company’s initial listing on The Nasdaq Stock Market, LLC, elected to convert $52.6 million of such Preferred A-1 Unit Accounts for Class S Ordinary Units of BCH, which were subsequently contemporaneously exchanged for…

Results of Operations and Financial Conditions On October 20, 2025, Beneficient, a Nevada corporation, issued a press release announcing its financial results for the first quarter ended June 30, 2025. A copy of the press release is furnished as Exhibit 99.1 and is incorporated by reference herein. The information furnished pursuant to Item 2.02 (including Exhibit 99.1 hereto) shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (…