0001304474-12-000001.txt : 20120203 0001304474-12-000001.hdr.sgml : 20120203 20120203201128 ACCESSION NUMBER: 0001304474-12-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120131 FILED AS OF DATE: 20120203 DATE AS OF CHANGE: 20120203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clifford William Thaddeus CENTRAL INDEX KEY: 0001346750 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 12571770 MAIL ADDRESS: STREET 1: 370 COGNEWAUGH RD. CITY: COS COB STATE: CT ZIP: 06807 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SWK Holdings Corp CENTRAL INDEX KEY: 0001089907 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770435679 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5314 RIVER RUN DRIVE STREET 2: SUITE 350 CITY: PROVO STATE: UT ZIP: 84604 BUSINESS PHONE: 801-805-1301 MAIL ADDRESS: STREET 1: 5314 RIVER RUN DRIVE STREET 2: SUITE 350 CITY: PROVO STATE: UT ZIP: 84604 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 primary_doc.xml PRIMARY DOCUMENT X0304 4 2012-01-31 0 0001089907 SWK Holdings Corp SWKH 0001346750 Clifford William Thaddeus 370 COGNEWAUGH RD. COS COB CT 06807 1 0 0 0 Common Stock 2012-01-31 4 A 0 35000 A 135000 D Comprised of restricted stock granted in exchange for Mr. Clifford's services as a director SWK Holdings Corporation. The grant was made pursuant to the Company's 2010 Equity Incentive Plan and Form of Restricted Stock Agreement included as Exhibit 4.2 to the Company's Form 8-K filed on February 2, 2012. The shares awarded will vest on January 31, 2013. Includes 100,000 shares of unvested restricted stock owned by Mr. Clifford, which were granted for his services as a director. /s/ Paul V. Burgon as Attorney-in-fact 2012-02-03