0001062993-23-008696.txt : 20230404 0001062993-23-008696.hdr.sgml : 20230404 20230404185324 ACCESSION NUMBER: 0001062993-23-008696 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230404 DATE AS OF CHANGE: 20230404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pennington Marcus Edward CENTRAL INDEX KEY: 0001864079 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 23800316 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 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 X0407 4 2023-03-31 0001089907 SWK Holdings Corp SWKH 0001864079 Pennington Marcus Edward 14755 PRESTON ROAD, SUITE 105 DALLAS TX 75254 1 0 0 0 0 Common Stock 2023-03-31 4 A 0 818 17.86 A 9879 D Common Stock 2023-03-31 4 A 0 770 17.86 A 10649 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 his services as a director, based on the $17.86 closing price of the common stock on March 31, 2023. Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for his services as a director, based on the $17.86 closing price of the common stock on March 31, 2023. The restricted shares vest on March 31, 2024, subject to the Reporting Person's continued service through such vesting date. /s/ Yvette Heinrichson, as attorney-in-fact 2023-04-04