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