0001062993-22-020199.txt : 20221004 0001062993-22-020199.hdr.sgml : 20221004 20221004070048 ACCESSION NUMBER: 0001062993-22-020199 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221004 DATE AS OF CHANGE: 20221004 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dotter Laurie L. CENTRAL INDEX KEY: 0001490732 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 221289706 MAIL ADDRESS: STREET 1: 3615 WEST LAWTHER DRIVE CITY: DALLAS STATE: TX ZIP: 75214 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 4 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0306 4 2022-09-30 0001089907 SWK Holdings Corp SWKH 0001490732 Dotter Laurie L. 14755 PRESTON ROAD SUITE 105 DALLAS TX 75254 1 0 0 0 Common Stock 2022-09-30 4 A 0 1206 17.00 A 4052 D Common Stock 2022-09-30 4 A 0 809 17.00 A 4861 D Consists of shares of common stock issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation for her services as a director, based on the $17.00 closing price of the common stock on September 30, 2022. Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for her services as a director, based on the $17.00 closing price of the common stock on September 30, 2022. The restricted shares vest on September 30, 2023, subject to the Reporting Person's continued service through such vesting date. /s/ Yvette Heinrichson, as attorney-in-fact 2022-10-04