13D Filing: Carlson Capital and SWK Holdings Corp (SWKH)

Published on April 2, 2018 at 10:34 am by Insider Monkey Staff in Hedge Funds

Page 1 of 16

SWK Holdings Corp (OTCMKTS:SWKH): Clint Carlson’s Carlson Capital filed an amended 13D.

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Clint Carlson

Carlson Capital

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You can access the original SEC filing by clicking here.

Ownership Summary Table

Name	Sole Voting Power	Shared Voting Power	Sole Dispositive Power	Shared Dispositive Power	Aggregate Amount Owned Power	Percent of Class
Double Black Diamond Offshore Ltd	0	8,493,088	0	8,493,088	8,493,088	65.1%
Black Diamond Offshore Ltd	0	600,678	0	600,678	600,678	4.6%
Double Black Diamond	0	100,000	0	100,000	100,000	0.8%
Carlson Capital	0	9,193,766	0	9,193,766	9,193,766	69.9%
Asgard Investment Corp. II	0	9,193,766	0	9,193,766	9,193,766	69.9%
Asgard Investment Corp	0	9,193,766	0	9,193,766	9,193,766	69.9%
Clint D. Carlson	0	9,193,766	0	9,193,766	9,193,766	69.9%
Michael D. Weinberg	57,961	0	57,961	0	57,961	0.4%
Christopher W. Haga	17,471	0	17,471	0	17,471	0.1%

Clint Carlson

Carlson Capital

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Page 1 of 16 – SEC Filing

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D/A

(Rule 13d-101)

Under the Securities Exchange Act of 1934

(Amendment No. 9)*

SWK HOLDINGS CORPORATION

(Name of Issuer)

Common Stock, par value $0.001 per share

(Title of Class of Securities)

78501P203

(CUSIP Number)

Joseph Brucchieri

Carlson Capital, L.P.

2100 McKinney Avenue

Dallas, TX 75201

(214) 932-9600

with a copy to:

Joseph A. Coco, Esq.

Skadden, Arps, Slate, Meagher & Flom LLP

Four Times Square

New York, NY 10036

(212) 735-3000

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

March 29, 2018

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐

*	The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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