Beneficient filed SEC Form 8-K: Regulation FD Disclosure, Other Events
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Item 7.01 Regulation FD Disclosure.
On January 5, 2026, Beneficient (the “Company”) issued a press release announcing that the Company had regained compliance with the Bid Price Requirement and the Warrants Requirement (each as defined below) of The Nasdaq Stock Market, LLC.
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, 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, except as expressly set forth in such filing.
Item 8.01 Other Events.
On January 2, 2026, the Company received notification from the Nasdaq Hearings Panel (the “Panel”) that the Company had regained compliance with respect to Nasdaq Listing Rules 5550(a)(2) and 5560(a) (the “Bid Price Requirement” and the “Warrants Requirement,” respectively). As a result, the Panel advised the Company that it is in full compliance with The Nasdaq Capital Market’s listing requirements.
Item 9.01 Exhibits and Financial Statements.
(d) Exhibits.
| Exhibit No. |
Description of Exhibit | |
| 99.1 | Press Release of Beneficient. | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |
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: January 5, 2026 | ||