0001062993-24-008013.txt : 20240403 0001062993-24-008013.hdr.sgml : 20240403 20240403202137 ACCESSION NUMBER: 0001062993-24-008013 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240401 FILED AS OF DATE: 20240403 DATE AS OF CHANGE: 20240403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pennington Marcus Edward CENTRAL INDEX KEY: 0001864079 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 24821179 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] ORGANIZATION NAME: 02 Finance 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 2024-04-01 0001089907 SWK Holdings Corp SWKH 0001864079 Pennington Marcus Edward 5956 SHERRY LANE, SUITE 650 DALLAS TX 75225 1 0 0 0 0 Common Stock 2024-04-01 4 A 0 1051 16.88 A 17108 D Common Stock 2024-04-01 4 A 0 815 16.88 A 17923 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. Consists of restricted shares of common stock granted to the Reporting Person as compensation in advance for his services as a director. The restricted shares vest on April 1, 2025, subject to the Reporting Person's continued service through such vesting date. /s/ Marcus Pennington 2024-04-03