person · Reporting owner

Heppner Brad K

Disclosed activity across 2 companies

Tapewire entity: 90056
SEC CIK: 0001776029

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
BeneficientBENF · Entity 7427	Director · See Remarks	June 07, 2024	June 11, 2024
GWG Holdings, Inc.GWGH · Entity 111001	Director	June 18, 2020	July 23, 2020

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Beneficient

Report date June 07, 2024 · Filed June 11, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	17,092	Reported balance After 2024-06-07 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2024-06-07 · Tax withholding · Disposed 6,846 · Balance 17,092 F1: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024. F2: Represents shares of Class A common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of restricted stock units ("RSUs") granted to Brad K. Heppner (the "Reporting Person"). No shares were issued or sold in this transaction. F3: Includes 2,906 shares of Class A common stock issuable upon the settlement of an award of 2,906 RSUs granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year. F4: Includes 17,793 shares of Class A common stock issuable upon the settlement of an award of 14,235 restricted equity units ("REUs") granted to the Reporting Person pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan"). Such award of REUs to the Reporting Person fully vested on the date of grant, April 25, 2019. F5: Includes 235 shares of Class A common stock issuable upon settlement of an award of 188 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 75% in three equal annual installments on April 25th of each subsequent calendar year. F6: Includes 679 Class A Shares issuable upon settlement of an award of 543 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person shall vest 40% on June 8, 2023, and the remaining 60% in three equal annual installments on April 1st of each subsequent calendar year. F7: Includes 2,325 shares of Class A common stock of the Issuer issuable upon the settlement of an award of 2,325 RSUs granted pursuant to 2023 Equity Incentive Plan to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person fully vested on September 1, 2023.

Filing footnotes · ownership attribution and instrument terms

F1: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024.

F2: Represents shares of Class A common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of restricted stock units ("RSUs") granted to Brad K. Heppner (the "Reporting Person"). No shares were issued or sold in this transaction.

F3: Includes 2,906 shares of Class A common stock issuable upon the settlement of an award of 2,906 RSUs granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year.

F4: Includes 17,793 shares of Class A common stock issuable upon the settlement of an award of 14,235 restricted equity units ("REUs") granted to the Reporting Person pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan"). Such award of REUs to the Reporting Person fully vested on the date of grant, April 25, 2019.

F5: Includes 235 shares of Class A common stock issuable upon settlement of an award of 188 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 75% in three equal annual installments on April 25th of each subsequent calendar year.

F6: Includes 679 Class A Shares issuable upon settlement of an award of 543 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person shall vest 40% on June 8, 2023, and the remaining 60% in three equal annual installments on April 1st of each subsequent calendar year.

F7: Includes 2,325 shares of Class A common stock of the Issuer issuable upon the settlement of an award of 2,325 RSUs granted pursuant to 2023 Equity Incentive Plan to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person fully vested on September 1, 2023.

GWG Holdings, Inc.

Report date June 18, 2020 · Filed July 23, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $.001 par valueSEC Table I · non-derivative	Direct	8,169	Reported balance After 2020-06-18 transaction · row 2 1 source row Row 2 · 2020-06-18 · Exercise / conversion · Acquired 8,169 · Balance 8,169 F2: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2020-06-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2020-06-18 · Exercise / conversion · Disposed 8,169 · Balance 0 F2: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person.
Common Stock, $.001 par valueSEC Table I · non-derivative	IndirectBy Beneficiant Capital Company, L.L.C.	2,500,000	Reported balance Holding disclosure · report date 2020-06-18 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,500,000 F1: Beneficient Capital Company, L.L.C., a Delaware limited liability company ("BEN Capital") is a wholly-owned subsidiary of Beneficient Company Holdings, L.P., a Delaware limited partnership ("BEN Holdings"). BEN Holdings is also the managing member of BEN Capital. BEN Holdings is controlled by its general partner, The Beneficient Company Group, L.P, a Delaware limited partnership ("BEN"). BEN is controlled by its general partner, Beneficient Management, L.L.C., a Delaware limited liability company ("BEN Management"). Brad K. Heppner serves as Director, Chairman and Chief Executive Officer of BEN Management. As a result, Mr. Heppner may be deemed to beneficially the shares of GWG Holdings, Inc. common stock owned by BEN Capital. Mr. Heppner disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Beneficient Capital Company, L.L.C., a Delaware limited liability company ("BEN Capital") is a wholly-owned subsidiary of Beneficient Company Holdings, L.P., a Delaware limited partnership ("BEN Holdings"). BEN Holdings is also the managing member of BEN Capital. BEN Holdings is controlled by its general partner, The Beneficient Company Group, L.P, a Delaware limited partnership ("BEN"). BEN is controlled by its general partner, Beneficient Management, L.L.C., a Delaware limited liability company ("BEN Management"). Brad K. Heppner serves as Director, Chairman and Chief Executive Officer of BEN Management. As a result, Mr. Heppner may be deemed to beneficially the shares of GWG Holdings, Inc. common stock owned by BEN Capital. Mr. Heppner disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F2: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
June 07, 2024 Filed Jun 11, 2024 19:51 UTC	Beneficient BENF · Entity 7427	Tax withholdingClass A Common Stock	6,846	$5.38	$36,831.48	Disclosure SEC source: 0000950170-24-072186 · ownership.xml · nonDerivative · entry 1 Heppner Brad K · CIK 0001776029 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,092 F1 · security: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024. F2 · kind: Represents shares of Class A common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of restricted stock units ("RSUs") granted to Brad K. Heppner (the "Reporting Person"). No shares were issued or sold in this transaction. F3 · balance_after: Includes 2,906 shares of Class A common stock issuable upon the settlement of an award of 2,906 RSUs granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year. F4 · balance_after: Includes 17,793 shares of Class A common stock issuable upon the settlement of an award of 14,235 restricted equity units ("REUs") granted to the Reporting Person pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan"). Such award of REUs to the Reporting Person fully vested on the date of grant, April 25, 2019. F5 · balance_after: Includes 235 shares of Class A common stock issuable upon settlement of an award of 188 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 75% in three equal annual installments on April 25th of each subsequent calendar year. F6 · balance_after: Includes 679 Class A Shares issuable upon settlement of an award of 543 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person shall vest 40% on June 8, 2023, and the remaining 60% in three equal annual installments on April 1st of each subsequent calendar year. F7 · balance_after: Includes 2,325 shares of Class A common stock of the Issuer issuable upon the settlement of an award of 2,325 RSUs granted pursuant to 2023 Equity Incentive Plan to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person fully vested on September 1, 2023. Read SEC document
July 15, 2023 Filed Jun 11, 2024 19:37 UTC	Beneficient BENF · Entity 7427	GrantClass A Common Stock	2,325	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072157 · ownership.xml · nonDerivative · entry 2 Heppner Brad K · CIK 0001776029 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,938 F6 · shares: Includes 2,325 shares of Class A common stock of the Issuer issuable upon the settlement of an award of 2,325 RSUs granted pursuant to 2023 Equity Incentive Plan to the Reporting Person on July 15, 2023. Such award of RSUs to the Reporting Person fully vested on September 1, 2023. F3 · balance_after: Includes 17,793 shares of Class A common stock issuable upon the settlement of an award of 14,235 restricted equity units ("REUs") granted to the Reporting Person pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan"). Such award of REUs to the Reporting Person fully vested on the date of grant, April 25, 2019. F4 · balance_after: Includes 235 shares of Class A common stock issuable upon settlement of an award of 188 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 75% in three equal annual installments on April 25th of each subsequent calendar year. F5 · balance_after: Includes 679 Class A Shares issuable upon settlement of an award of 543 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person shall vest 40% on June 8, 2023, and the remaining 60% in three equal annual installments on April 1st of each subsequent calendar year. Read SEC document
July 15, 2023 Filed Jun 11, 2024 19:37 UTC	Beneficient BENF · Entity 7427	GrantClass A Common Stock	2,906	$0.00	$0.00	Disclosure SEC source: 0000950170-24-072157 · ownership.xml · nonDerivative · entry 1 Heppner Brad K · CIK 0001776029 · Director · See Remarks 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 216,123 F1 · security: The shares shown have been retroactively adjusted to reflect Beneficient's (the "Issuer") reverse stock split of its outstanding shares of Class A common stock, par value $0.001 per share ("Class A common stock"), and Class B common stock, par value $0.001 per share, on a 1-for-80 basis effected on April 18, 2024. F2 · shares: Includes 2,906 shares of Class A common stock issuable upon the settlement of an award of 2,906 restricted stock units ("RSUs") granted pursuant to Beneficient 2023 Equity Incentive Plan ("2023 Equity Incentive Plan") to Brad K. Heppner (the "Reporting Person") on July 15, 2023. Such award of RSUs to the Reporting Person vested 20% on September 1, 2023, and the remaining 80% in four equal annual installments on September 1st of each subsequent calendar year. F3 · balance_after: Includes 17,793 shares of Class A common stock issuable upon the settlement of an award of 14,235 restricted equity units ("REUs") granted to the Reporting Person pursuant to The Beneficient Company Group, L.P. 2018 Equity Incentive Plan ("2018 Equity Incentive Plan"). Such award of REUs to the Reporting Person fully vested on the date of grant, April 25, 2019. F4 · balance_after: Includes 235 shares of Class A common stock issuable upon settlement of an award of 188 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 25, 2019. Such award of REUs to the Reporting Person vested 25% on the date of grant, and the remaining 75% in three equal annual installments on April 25th of each subsequent calendar year. F5 · balance_after: Includes 679 Class A Shares issuable upon settlement of an award of 543 REUs granted to the Reporting Person pursuant to the 2018 Equity Incentive Plan on April 1, 2022. Such award of REUs to the Reporting Person shall vest 40% on June 8, 2023, and the remaining 60% in three equal annual installments on April 1st of each subsequent calendar year. Read SEC document
June 18, 2020 Filed Jul 23, 2020 16:50 UTC	GWG Holdings, Inc. GWGH · Entity 111001	Exercise / conversionRestricted Stock Units · Derivative	8,169	$0.00	$0.00	Disclosure SEC source: 0001179110-20-008448 · edgar.xml · derivative · entry 3 Heppner Brad K · CIK 0001776029 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,169 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. F2 · kind: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. F2 · derivative.expiration_date: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. Read SEC document
June 18, 2020 Filed Jul 23, 2020 16:50 UTC	GWG Holdings, Inc. GWGH · Entity 111001	Exercise / conversionCommon Stock, $.001 par value	8,169	$0.00	$0.00	Disclosure SEC source: 0001179110-20-008448 · edgar.xml · nonDerivative · entry 2 Heppner Brad K · CIK 0001776029 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,169 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · kind: Each restricted stock unit represented a contingent right to receive one share of Issuer common stock. Shares have now vested and are being delivered to the reporting person. Read SEC document
June 18, 2019 Filed Jun 20, 2019 16:17 UTC	GWG Holdings, Inc. GWGH · Entity 111001	GrantRestricted Stock Units · Derivative	8,169	$0.00	$0.00	Disclosure SEC source: 0001179110-19-007952 · edgar.xml · derivative · entry 3 Heppner Brad K · CIK 0001776029 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,169 Underlying: Common Stock · 8,169 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. Vested shares are delivered to the reporting person upon vesting. F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of Issuer common stock. Vested shares are delivered to the reporting person upon vesting. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.