0001140361-17-021728.txt : 20170522
0001140361-17-021728.hdr.sgml : 20170522
20170522162748
ACCESSION NUMBER: 0001140361-17-021728
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170518
FILED AS OF DATE: 20170522
DATE AS OF CHANGE: 20170522
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SWK Holdings Corp
CENTRAL INDEX KEY: 0001089907
STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS BUSINESS CREDIT INSTITUTION [6159]
IRS NUMBER: 770435679
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 14755 PRESTON ROAD
STREET 2: SUITE 105
CITY: DALLAS
STATE: TX
ZIP: 75254
BUSINESS PHONE: (972) 687-7250
MAIL ADDRESS:
STREET 1: 14755 PRESTON ROAD
STREET 2: SUITE 105
CITY: DALLAS
STATE: TX
ZIP: 75254
FORMER COMPANY:
FORMER CONFORMED NAME: KANA SOFTWARE INC
DATE OF NAME CHANGE: 20011114
FORMER COMPANY:
FORMER CONFORMED NAME: KANA COMMUNICATIONS INC
DATE OF NAME CHANGE: 19990702
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Asgard Investment Corp. II
CENTRAL INDEX KEY: 0001503915
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27163
FILM NUMBER: 17861261
BUSINESS ADDRESS:
STREET 1: 2100 MCKINNEY AVENUE
STREET 2: SUITE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-932-9600
MAIL ADDRESS:
STREET 1: 2100 MCKINNEY AVENUE
STREET 2: SUITE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Black Diamond Offshore Ltd.
CENTRAL INDEX KEY: 0001452364
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27163
FILM NUMBER: 17861262
BUSINESS ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1205
BUSINESS PHONE: 214-932-9600
MAIL ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1205
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Carlson Clint Duane
CENTRAL INDEX KEY: 0001404625
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27163
FILM NUMBER: 17861264
MAIL ADDRESS:
STREET 1: 2100 MCKINNEY AVENUE
STREET 2: SUITE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Asgard Investment Corp.
CENTRAL INDEX KEY: 0001404557
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27163
FILM NUMBER: 17861265
BUSINESS ADDRESS:
STREET 1: 2100 MCKINNEY AVENUE
STREET 2: SUITE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214.932.9600
MAIL ADDRESS:
STREET 1: 2100 MCKINNEY AVENUE
STREET 2: SUITE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CARLSON CAPITAL L P
CENTRAL INDEX KEY: 0001056973
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27163
FILM NUMBER: 17861267
BUSINESS ADDRESS:
STREET 1: 2100 MCKINNEY AVE
STREET 2: STE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 2149329600
MAIL ADDRESS:
STREET 1: 2100 MCKINNEY AVE
STREET 2: STE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Double Black Diamond Offshore Ltd
CENTRAL INDEX KEY: 0001404976
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27163
FILM NUMBER: 17861263
BUSINESS ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: CAMANA BAY
STATE: E9
ZIP: KY-1205
BUSINESS PHONE: 214.932.9600
MAIL ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: CAMANA BAY
STATE: E9
ZIP: KY-1205
FORMER NAME:
FORMER CONFORMED NAME: Double Black Diamond Offshore Ltd.
DATE OF NAME CHANGE: 20090610
FORMER NAME:
FORMER CONFORMED NAME: Double Black Diamond Offshore LDC
DATE OF NAME CHANGE: 20070628
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DOUBLE BLACK DIAMOND, L.P.
CENTRAL INDEX KEY: 0001056352
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27163
FILM NUMBER: 17861266
BUSINESS ADDRESS:
STREET 1: 2100 MCKINNEY AVENUE, SUITE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-932-9600
MAIL ADDRESS:
STREET 1: 2100 MCKINNEY AVENUE, SUITE 1800
CITY: DALLAS
STATE: TX
ZIP: 75201
FORMER NAME:
FORMER CONFORMED NAME: DOUBLE BLACK DIAMOND L P
DATE OF NAME CHANGE: 19980223
4
1
doc1.xml
FORM 4
X0306
4
2017-05-18
0
0001089907
SWK Holdings Corp
SWKH
0001056973
CARLSON CAPITAL L P
2100 MCKINNEY AVE
STE 1800
DALLAS
TX
75201
0
0
1
1
See Remarks
0001056352
DOUBLE BLACK DIAMOND, L.P.
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
1
0
1
1
See Remarks
0001404557
Asgard Investment Corp.
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
1
0
1
1
See Remarks
0001404625
Carlson Clint Duane
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
1
0
1
1
See Remarks
0001404976
Double Black Diamond Offshore Ltd
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
1
0
1
1
See Remarks
0001452364
Black Diamond Offshore Ltd.
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
1
0
1
1
See Remarks
0001503915
Asgard Investment Corp. II
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
1
0
1
1
See Remarks
Common Stock
2017-05-18
4
P
0
1600
10.9994
A
9085619
I
See Footnotes
Common Stock
2017-05-19
4
P
0
8147
11.00
A
9093766
I
See Footnotes
The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2).
Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein.
Christopher W. Haga and Michael D. Weinberg, employees of Carlson, serve as directors on the board of directors of the Issuer. Accordingly, Carlson, DOF, OFF, DBD LP, Asgard II, Asgard and Mr. Carlson may be deemed to be directors by deputization.
/s/ Clint D. Carlson, President of Asgard Investment Corp. and of Carlson Capital, L.P., on behalf of each Reporting Person
2017-05-22