# EDGAR Filing Document

**Accession Number:** 0001413224
**File Stem:** 0001493152-26-018149
**Filing Date:** 2026-4
**Character Count:** 7696
**Document Hash:** c33ec3b5e134ee93c1f5cd2330b7201c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-26-018149.hdr.sgml**: 20260420

**ACCESSION NUMBER**: 0001493152-26-018149

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20260310

**FILED AS OF DATE**: 20260420

**DATE AS OF CHANGE**: 20260420

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Hicks Mack H.
- **CENTRAL INDEX KEY:** 0001413224

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41715
- **FILM NUMBER:** 26876391

**MAIL ADDRESS:**
- **STREET 1:** 2200 ROSS AVENUE
- **STREET 2:** SUITE 4600 W
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Hicks Holdings Operating LLC
- **CENTRAL INDEX KEY:** 0001775933

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** TX
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41715
- **FILM NUMBER:** 26876390

**BUSINESS ADDRESS:**
- **STREET 1:** 2200 ROSS AVENUE
- **STREET 2:** 50TH FLOOR
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201
- **BUSINESS PHONE:** 214-615-2300

**MAIL ADDRESS:**
- **STREET 1:** 2200 ROSS AVENUE
- **STREET 2:** 50TH FLOOR
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Beneficient
- **CENTRAL INDEX KEY:** 0001775734
- **STANDARD INDUSTRIAL CLASSIFICATION:** FINANCE SERVICES [6199]
- **ORGANIZATION NAME:** 02 Finance
- **EIN:** 721573705
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 0331

**BUSINESS ADDRESS:**
- **STREET 1:** 325 N. SAINT PAUL STREET
- **STREET 2:** SUITE 4850
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201
- **BUSINESS PHONE:** 2144454705

**MAIL ADDRESS:**
- **STREET 1:** 325 N. SAINT PAUL STREET
- **STREET 2:** SUITE 4850
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75201

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Beneficient Co Group, L.P.
- **DATE OF NAME CHANGE:** 20190503

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Hicks Mack H.<br><sub>(Last) (First) (Middle)</sub><br>2200 ROSS AVENUE, 50TH FLOOR<br><sub>(Street)</sub><br>DALLAS, TX 75201<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Beneficient [ BENF ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2026-03-10 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director   [X] 10% Owner<br>[ ] Officer (give title below)   [ ] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Hicks Holdings Operating LLC<br><sub>(Last) (First) (Middle)</sub><br>2200 ROSS AVENUE<br>50TH FLOOR<br><sub>(Street)</sub><br>DALLAS, TX 75201<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Beneficient [ BENF ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2026-03-10 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[ ] Officer (give title below)   [X] Other (specify below)<br>_ _ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Class A Common Stock | 11560705 | I | See Footnotes<sup>(1)</sup> |
| Class A Common Stock | 149904 | I | See Footnotes<sup>(2)</sup> |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Class B Common Stock | <sup>(3)</sup> | <sup>(3)</sup> | Class A Common Stock | 2066 | <sup>(3)</sup> | I | See Footnotes<sup>(4)</sup> |

---

### Footnotes:

(1) These shares of Class A common stock, par value $0.001 per share (the "Class A Shares"), of Beneficient (the "Issuer") 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.

(2) These Class A Shares of the Issuer are 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.

(3) Each share of Class B common stock, par value $0.001 per share (the "Class B Shares"), of the Issuer is convertible into Class A Shares on a one-for-one basis (i) at any time at the option of the holder or (ii) upon any transfer, except for certain transfers described in the Issuer's articles of incorporation. The Class B Shares are convertible on June 7, 2023, and do not expire.

(4) The Class B Shares are held by Hicks Holdings. 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 Hicks Holdings, except to the extent of his pecuniary interest in such securities.

**Signature:** By: /s/ Mack Hicks Name: Mack Hicks  
**Date:** 2026-04-20

**Signature:** Hicks Holdings Operating, LLC By: /s/ Mack Hicks Name: Mack Hicks Title: Sole Member  
**Date:** 2026-04-20

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**