0001209191-14-054386.txt : 20140826 0001209191-14-054386.hdr.sgml : 20140826 20140826132802 ACCESSION NUMBER: 0001209191-14-054386 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140818 FILED AS OF DATE: 20140826 DATE AS OF CHANGE: 20140826 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: 15770 NORTH DALLAS PARKWAY STREET 2: SUITE 1290 CITY: DALLAS STATE: TX ZIP: 75248 BUSINESS PHONE: (972) 687-7250 MAIL ADDRESS: STREET 1: 15770 NORTH DALLAS PARKWAY STREET 2: SUITE 1290 CITY: DALLAS STATE: TX ZIP: 75248 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: Carlson Clint Duane CENTRAL INDEX KEY: 0001404625 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 141064708 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: 141064710 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: 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: 141064711 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: Black Diamond Offshore Ltd. CENTRAL INDEX KEY: 0001452364 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 141064712 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 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: 141064713 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: 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: 141064709 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2014-08-18 0 0001089907 SWK Holdings Corp SWKH 0001056973 CARLSON CAPITAL L P 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 0001404976 Double Black Diamond Offshore Ltd 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 0001503915 Asgard Investment Corp. II 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 Common Stock 2014-08-18 4 P 0 52106256 1.37 A 68057100 I See Footnotes Common Stock 2014-08-18 4 P 0 3801744 1.37 A 68057100 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. Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson.(Continued to footnote 2) 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. Michael D. Weinberg, an employee of Carlson, serves as a director on the board of directors of the Issuer. Accordingly, Carlson, DOF, OFF, 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, LP, on behalf of each Reporting Person 2014-08-26