0001062993-23-014531.txt : 20230705
0001062993-23-014531.hdr.sgml : 20230705
20230705202556
ACCESSION NUMBER: 0001062993-23-014531
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230630
FILED AS OF DATE: 20230705
DATE AS OF CHANGE: 20230705
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: 231071691
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: 5956 SHERRY LANE
STREET 2: SUITE 650
CITY: DALLAS
STATE: TX
ZIP: 75225
BUSINESS PHONE: 2142177253
MAIL ADDRESS:
STREET 1: 5956 SHERRY LANE
STREET 2: SUITE 650
CITY: DALLAS
STATE: TX
ZIP: 75225
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
2023-06-30
0001089907
SWK Holdings Corp
SWKH
0001864079
Pennington Marcus Edward
14755 PRESTON ROAD, SUITE 105
DALLAS
TX
75254
1
0
0
0
0
Common Stock
2023-06-30
4
A
0
1060
16.74
A
11716
D
Common Stock
2023-06-30
4
A
0
821
16.74
A
12537
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 $16.74 closing price of the common stock on June 30, 2023.
Due to an administrative error, on April 4, 2023, the Reporting Person mistakenly reported the acquisition of 818 shares of common stock in lieu of cash compensation for his services as a director. The amount of shares acquired should have been reported as 825. The amounts reported in column 5 of this Form 4 have been updated to reflect the Reporting Person's corrected ownership.
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 $16.74 closing price of the common stock on June 30, 2023. The restricted shares vest on June 30, 2024, subject to the Reporting Person's continued service through such vesting date.
/s/ Yvette Heinrichson, as attorney-in-fact
2023-07-05