0001209191-14-072029.txt : 20141201
0001209191-14-072029.hdr.sgml : 20141201
20141201182749
ACCESSION NUMBER: 0001209191-14-072029
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141126
FILED AS OF DATE: 20141201
DATE AS OF CHANGE: 20141201
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: 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: 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: 141258816
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
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: 141258813
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: 141258817
BUSINESS ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: CAMANA BAY
STATE: E9
ZIP: KY-1205
BUSINESS PHONE: 214.932.9600
MAIL ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: CAMANA BAY
STATE: E9
ZIP: KY-1205
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: 141258818
BUSINESS ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1205
BUSINESS PHONE: 214-932-9600
MAIL ADDRESS:
STREET 1: CITCO FUND SERVICES, 89 NEXUS WAY
STREET 2: P.O. BOX 31106
CITY: GRAND CAYMAN
STATE: E9
ZIP: KY1-1205
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: 141258814
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: 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: 141258815
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: 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: 141258819
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
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-11-26
0
0001089907
SWK Holdings Corp
SWKH
0001056973
CARLSON CAPITAL L P
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
1
0
1
1
See Remarks
0001452364
Black Diamond Offshore Ltd.
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
0
0
1
0
0001404976
Double Black Diamond Offshore Ltd
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
0
0
1
0
0001056352
DOUBLE BLACK DIAMOND, L.P.
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
0
0
1
0
0001404557
Asgard Investment Corp.
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
0
0
1
0
0001503915
Asgard Investment Corp. II
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
0
0
1
0
0001404625
Carlson Clint Duane
2100 MCKINNEY AVENUE, STE 1800
DALLAS
TX
75201
0
0
1
0
Common Stock
2014-11-26
4
X
0
4622604
0.86
A
72679704
I
See Footnotes
Subscription Right
0.86
2014-11-26
4
X
0
13149100
0.00
D
2014-11-03
2014-11-24
Common Stock
4199490
0
I
See Footnotes
Over-Subscription Privilege
0.86
2014-11-26
4
X
0
13149100
0.00
D
2014-11-03
2014-11-24
Common Stock
423114
0
I
See Footnotes
In connection with the issuer's registered rights offering commenced on November 3, 2014 (the "Rights Offering"), the reporting persons irrevocably exercised their subscription rights and over-subscription privileges to purchase shares of common stock issued in the Rights Offering. Each subscription right was exercisable for 0.345662431 shares of Common Stock. Each over-subscription privilege was exercisable for its pro rata portion of the shares of Common Stock underlying the Rights Offering but not subscribed for pursuant to the exercise of subscription rights. On November 24, 2014, the subscription period ended, and on November 26, 2014 the issuer issued the shares of Common Stock subscribed for in the Rights Offering.
The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the Rights Offering and which holds a warrant exercisable for 1,000,000 shares of Common Stock.
(Continued from footnote 2) 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.
Christopher W. Haga and Michael D. Weinberg, employees of Carlson, serve as directors on the board of directors of the Issuer. Accordingly, Carlson, DOF, OFF, DBD LP, Asgard II, Asgard and Mr. Carlson may be deemed to be directors by deputization.
/s/ Clint D. Carlson, President of Asgard Investment Corp. and of Carlson Capital, L.P., on behalf of each Reporting Person
2014-12-01