0001062993-23-014529.txt : 20230705 0001062993-23-014529.hdr.sgml : 20230705 20230705202304 ACCESSION NUMBER: 0001062993-23-014529 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221230 FILED AS OF DATE: 20230705 DATE AS OF CHANGE: 20230705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatcher Robert K. CENTRAL INDEX KEY: 0001911405 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 231071685 MAIL ADDRESS: STREET 1: 2929 ALLEN PARKWAY STREET 2: SUITE 3000 CITY: HOUSTON STATE: TX ZIP: 77019 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: 5956 SHERRY LANE STREET 2: SUITE 650 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2142177253 MAIL ADDRESS: STREET 1: 5956 SHERRY LANE STREET 2: SUITE 650 CITY: DALLAS STATE: TX ZIP: 75225 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 form4a.xml AMENDED STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0407 4/A 2022-12-30 2023-01-04 0001089907 SWK Holdings Corp SWKH 0001911405 Hatcher Robert K. 14755 PRESTON ROAD, SUITE 105 DALLAS TX 75254 1 0 0 0 0 Common Stock 2022-12-30 4 A 0 779 17.64 A 5511 D Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for his services as a director, based on the $17.64 closing price of the common stock on December 30, 2022. The restricted shares vest on December 30, 2023, subject to the Reporting Person's continued service through such vesting date. Reflects securities beneficially owned following the reported transaction as of the applicable transaction date. On January 4, 2023, the Reporting Person filed a Form 4 (the "Original Form 4"), which mistakenly reported the acquisition of 1,120 shares of common stock by the Reporting Person in lieu of cash compensation for his services as a director. The Reporting Person elected to receive such compensation in cash, and did not acquire such shares. Accordingly, this amendment is being filed to amend and restate the Original Form 4 in its entirety. /s/ Yvette Heinrichson, as attorney-in-fact 2023-07-05