0000902664-13-003182.txt : 20130909 0000902664-13-003182.hdr.sgml : 20130909 20130909173146 ACCESSION NUMBER: 0000902664-13-003182 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130906 FILED AS OF DATE: 20130909 DATE AS OF CHANGE: 20130909 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: 15770 NORTH DALLAS PARKWAY STREET 2: SUITE 1290 CITY: DALLAS STATE: TX ZIP: 75248 BUSINESS PHONE: (972) 687-7250 MAIL ADDRESS: STREET 1: 15770 NORTH DALLAS PARKWAY STREET 2: SUITE 1290 CITY: DALLAS STATE: TX ZIP: 75248 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Carlson Clint Duane CENTRAL INDEX KEY: 0001404625 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 131086410 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Asgard Investment Corp. II CENTRAL INDEX KEY: 0001503915 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 131086411 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-932-9600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Double Black Diamond Offshore Ltd CENTRAL INDEX KEY: 0001404976 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 131086414 BUSINESS ADDRESS: STREET 1: UBS HOUSE, 227 ELGIN AVENUE STREET 2: P.O. BOX 852 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1103Y BUSINESS PHONE: 214.932.9600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: Double Black Diamond Offshore Ltd. DATE OF NAME CHANGE: 20090610 FORMER NAME: FORMER CONFORMED NAME: Double Black Diamond Offshore LDC DATE OF NAME CHANGE: 20070628 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Black Diamond Offshore Ltd. CENTRAL INDEX KEY: 0001452364 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 131086415 BUSINESS ADDRESS: STREET 1: UBS HOUSE, 227 ELGIN AVE STREET 2: P.O. BOX 852 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1103 BUSINESS PHONE: 214-932-9600 MAIL ADDRESS: STREET 1: UBS HOUSE, 227 ELGIN AVE STREET 2: P.O. BOX 852 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARLSON CAPITAL L P CENTRAL INDEX KEY: 0001056973 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 131086416 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVE STREET 2: STE 1800 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2149329600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVE STREET 2: STE 1800 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Asgard Investment Corp. CENTRAL INDEX KEY: 0001404557 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 131086412 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214.932.9600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DOUBLE BLACK DIAMOND, L.P. CENTRAL INDEX KEY: 0001056352 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 131086413 BUSINESS ADDRESS: STREET 1: 2100 MCKINNEY AVENUE, SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-932-9600 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE, SUITE 1800 CITY: DALLAS STATE: TX ZIP: 75201 FORMER NAME: FORMER CONFORMED NAME: DOUBLE BLACK DIAMOND L P DATE OF NAME CHANGE: 19980223 4 1 p13-1727form4.xml SWK HOLDINGS CORPORATION X0306 4 2013-09-06 0 0001089907 SWK Holdings Corp NONE 0001056973 CARLSON CAPITAL L P 2100 MCKINNEY AVE STE 1800 DALLAS TX 75201 1 0 1 1 See Remarks 0001452364 Black Diamond Offshore Ltd. 2100 MCKINNEY AVE STE 1800 DALLAS TX 75201 1 0 1 1 See Remarks 0001404976 Double Black Diamond Offshore Ltd 2100 MCKINNEY AVENUE SUITE 1800 DALLAS TX 75201 1 0 1 1 See Remarks 0001056352 DOUBLE BLACK DIAMOND, L.P. 2100 MCKINNEY AVENUE, SUITE 1800 DALLAS TX 75201 1 0 1 1 See Remarks 0001404557 Asgard Investment Corp. 2100 MCKINNEY AVENUE SUITE 1800 DALLAS TX 75201 1 0 1 1 See Remarks 0001503915 Asgard Investment Corp. II 2100 MCKINNEY AVENUE SUITE 1800 DALLAS TX 75201 1 0 1 1 See Remarks 0001404625 Carlson Clint Duane 2100 MCKINNEY AVENUE SUITE 1800 DALLAS TX 75201 1 0 1 1 See Remarks Common Stock Warrant (right to buy) 1.3875 2013-09-06 4 A 0 1000000 A 2013-09-06 2020-09-06 Common Stock 1000000 1000000 I See footnote 1,000,000 shares of Common Stock are issuable to Double Black Diamond, L.P., a Delaware limited partnership ("DBD"), upon exercise of the Warrant. The Warrant was acquired from the Issuer and was approved in advance by the Issuer's board of directors in the manner prescribed by Rule 16b-3(d). The Warrant was issued to DBD in connection with its execution of the Loan Agreement, dated September 6, 2013, by and among the Issuer, SWK Funding LLC, SWK Advisors LLC, SWK HP Holdings GP LLC and DBD, as described in Amendment No. 3 to the reporting persons' Schedule 13D, filed with the SEC on September 9, 2013. Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF") and DBD. Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. Michael D. Weinberg, an employee of Carlson, serves as a director on the board of directors of the Issuer. Accordingly, Carlson Capital, DOF, OFF, DBD, Asgard II, Asgard and Mr. Carlson may be deemed to be directors by deputization. Carlson Capital, L.P., By: /s/ Clint D. Carlson, President 2013-09-09 EX-99.1 2 p13-1727jointfiler.htm JOINT FILER

Joint Filer Information

 

Name: Black Diamond Offshore Ltd.

Address: 2100 McKinney Avenue, Suite 1800

Dallas, TX 75201

Designated Filer: Carlson Capital, L.P.

Issuer: SWK Holdings Corporation

Date of Event Requiring Statement: September 6, 2013

Signature:

 

BLACK DIAMOND OFFSHORE LTD.

 

By: Carlson Capital, LP, its investment manager

 

By: Asgard Investment Corp. II, its general partner

 

/s/ Clint D. Carlson

By: Clint D. Carlson

Title: President

 

 

Name: Double Black Diamond Offshore Ltd.

Address: 2100 McKinney Avenue, Suite 1800

Dallas, TX 75201

Designated Filer: Carlson Capital, L.P.

Issuer: SWK Holdings Corporation

Date of Event Requiring Statement: September 6, 2013

Signature:

 

DOUBLE BLACK DIAMOND OFFSHORE LTD.

 

By: Carlson Capital, LP, its investment manager

 

By: Asgard Investment Corp. II, its general partner

 

/s/ Clint D. Carlson

By: Clint D. Carlson

Title: President

 

 
 

 

Name: Double Black Diamond, L.P.

Address: 2100 McKinney Avenue, Suite 1800

Dallas, TX 75201

Designated Filer: Carlson Capital, L.P.

Issuer: SWK Holdings Corporation

Date of Event Requiring Statement: September 6, 2013

Signature:

 

DOUBLE BLACK DIAMOND, L.P.

 

By: Carlson Capital, L.P., its investment manager

 

By: Asgard Investment Corp. II, its general partner

 

/s/ Clint D. Carlson

By: Clint D. Carlson

Title: President

 

 

Name: Asgard Investment Corp.

Address: 2100 McKinney Avenue, Suite 1800

Dallas, TX 75201

Designated Filer: Carlson Capital, L.P.

Issuer: SWK Holdings Corporation

Date of Event Requiring Statement: September 6, 2013

Signature:

 

ASGARD INVESTMENT CORP.

 

/s/ Clint D. Carlson

By: Clint D. Carlson

Title: President

 

Name: Asgard Investment Corp. II

Address: 2100 McKinney Avenue, Suite 1800

Dallas, TX 75201

Designated Filer: Carlson Capital, L.P.

Issuer: SWK Holdings Corporation

Date of Event Requiring Statement: September 6, 2013

Signature:

 

 

 
 

ASGARD INVESTMENT CORP. II

 

/s/ Clint D. Carlson

Name: Clint D. Carlson

Title: President

 

 

Name: Clint D. Carlson

Address: 2100 McKinney Avenue, Suite 1800

Dallas, TX 75201

Designated Filer: Carlson Capital, L.P.

Issuer: SWK Holdings Corporation

Date of Event Requiring Statement: September 6, 2013

Signature:

 

/s/ Clint D. Carlson

Clint D. Carlson