0000947871-22-001009.txt : 20220921 0000947871-22-001009.hdr.sgml : 20220921 20220921204737 ACCESSION NUMBER: 0000947871-22-001009 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220831 FILED AS OF DATE: 20220921 DATE AS OF CHANGE: 20220921 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLACK WINSTON L III CENTRAL INDEX KEY: 0001550168 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 221257705 MAIL ADDRESS: STREET 1: 14755 PRESTON ROAD STREET 2: SUITE 105 CITY: DALLAS STATE: TX ZIP: 75254 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/A 1 ownership.xml X0306 4/A 2022-08-31 2021-09-07 0 0001089907 SWK Holdings Corp SWKH 0001550168 BLACK WINSTON L III 14755 PRESTON ROAD SUITE 105 DALLAS TX 75254 0 1 0 0 Chief Executive Officer Common Stock 2022-08-31 4 M 0 50000 13.70 A 126663 D Common Stock 2022-08-31 4 M 0 75000 12.50 A 201663 D Common Stock 2022-08-31 4 F 0 101926 17.48 D 99737 D Employee Stock Option (right to buy) 13.70 2022-08-31 4 M 0 50000 0 D 2019-01-01 2022-12-31 Common Stock 50000 50000 D Employee Stock Option (right to buy) 12.50 2022-08-31 4 M 0 75000 0 D 2022-01-01 2022-12-31 Common Stock 75000 0 D Shares withheld for exercise price and taxes upon the exercise of stock options. This Form 4 amends the Form 4 that was filed on September 7, 2022. Due to an administrative error, 50,000 unvested stock options were inadvertently omitted from the total number of derivative securities beneficially owned by the reporting person. /s/ Yvette Heinrichson 2022-09-21