SEC Form 4 · accession 0001619685-15-000004
SWK Holdings Corp · SWKH
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dana Blair Baker
Director
Period of report
Sep 30, 2015
Accepted (ET)
Oct 2, 2015 · 4:42 pm EDT
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 | Sep 30, 2015 | A | 11,983 | — | A | 45,342 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes 2,500 shares issued to the Reporting Person as compensation for his service as a director. Also includes 9,483 shares issued in connection with the Reporting Person's voluntary decision to receive shares in lieu cash compensation for his service as a director, based on the $1.45 closing price of the common stock on September 30, 2015.