0001619685-20-000004.txt : 20201001 0001619685-20-000004.hdr.sgml : 20201001 20201001182225 ACCESSION NUMBER: 0001619685-20-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201001 DATE AS OF CHANGE: 20201001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Baker Dana Blair CENTRAL INDEX KEY: 0001619685 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 201217430 MAIL ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1450 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 primary_doc.xml PRIMARY DOCUMENT X0306 4 2020-09-30 0 0001089907 SWK Holdings Corp SWKH 0001619685 Baker Dana Blair 200 CRESCENT COURT SUITE 1450 DALLAS TX 75201 1 0 0 0 common stock 2020-09-30 4 A 0 1250 A 36759 D Common Stock 2020-10-01 4 A 0 1661 A 38420 D Includes 250 share to the Reporting Person as compensation for his services as a director. Also includes 1,000 shares 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 $14.00 closing price of the common stock on September 30, 2020. Consists of restricted shares granted to the Reporting Person as compensation for his services as a director, based on the $15.05 closing price of the common stock on October 1, 2020. The restricted shares vest on October 1, 2021. /s/ D. Blair Baker 2020-10-01