0001062993-23-018813.txt : 20231003 0001062993-23-018813.hdr.sgml : 20231003 20231003163416 ACCESSION NUMBER: 0001062993-23-018813 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231002 FILED AS OF DATE: 20231003 DATE AS OF CHANGE: 20231003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pennington Marcus Edward CENTRAL INDEX KEY: 0001864079 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 231304369 MAIL ADDRESS: STREET 1: 2100 MCKINNEY AVENUE STREET 2: SUITE 1800 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: 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 1 form4.xml STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES X0508 4 2023-10-02 0001089907 SWK Holdings Corp SWKH 0001864079 Pennington Marcus Edward 5956 SHERRY LANE, SUITE 650 DALLAS TX 75225 1 0 0 0 0 Common Stock 2023-10-02 4 A 0 1120 15.85 A 13657 D Common Stock 2023-10-02 4 A 0 868 15.85 A 14525 D Consists of shares of common stock 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 $15.85 closing price of the common stock on October 2, 2023. 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 $15.85 closing price of the common stock on October 2, 2023. The restricted shares vest on October 2, 2024, subject to the Reporting Person's continued service through such vesting date. /s/ Yvette Heinrichson, as attorney-in-fact 2023-10-03