SEC Form 4 · accession 0001550168-19-000001
SWK Holdings Corp · SWKH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Winston L Black III
Officer — Chief Executive Officer
Period of report
Jan 28, 2019
Accepted (ET)
Jan 30, 2019 · 6:12 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001089907
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 28, 2019 | A | 37,500 | — | A | 47,494 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Right to BuyF2 | $12.50 | Jan 28, 2019 | A | 75,000 | A | — | Jan 29, 2029 | Common Stock | 75,000 | 250,000 | D |
Explanation of responses
- F1Restricted 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.
- F2Comprised 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.