0001550168-19-000001.txt : 20190130 0001550168-19-000001.hdr.sgml : 20190130 20190130181212 ACCESSION NUMBER: 0001550168-19-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190128 FILED AS OF DATE: 20190130 DATE AS OF CHANGE: 20190130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BLACK WINSTON L III CENTRAL INDEX KEY: 0001550168 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27163 FILM NUMBER: 19553139 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 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2019-01-28 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 2019-01-28 4 A 0 37500 A 47494 D Common Stock Right to Buy 12.5 2019-01-28 4 A 0 75000 0 A 2029-01-29 Common Stock 75000 250000 D Restricted stock granted pursuant to the Company's 2010 Equity Incentive Plan and form of Restricted Stock Agreement; vests in thirds on December 31, 2019, December 31, 2020 and December 31, 2021. Comprised of stock options granted pursuant to the Company's 2010 Equity Incentive Plan and form of Stock Option Agreement. The options vest in thirds on December 31, 2019, December 31, 2020 and December 31, 2021. /s/ Winston L Black III 2019-01-30