Filing Details

Accession Number:
0001140361-15-044836
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-12-17 11:52:24
Reporting Period:
2015-12-15
Filing Date:
2015-12-17
Accepted Time:
2015-12-17 11:52:24
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1089907 Swk Holdings Corp SWKH Miscellaneous Business Credit Institution (6159) 770435679
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1056352 Double Black Diamond, L.p. 2100 Mckinney Avenue, Ste 1800
Dallas TX 75201
Yes No Yes Yes
1056973 P L Capital Carlson 2100 Mckinney Ave
Ste 1800
Dallas TX 75201
Yes No Yes Yes
1404557 Asgard Investment Corp. 2100 Mckinney Avenue, Ste 1800
Dallas TX 75201
Yes No Yes Yes
1404625 Duane Clint Carlson 2100 Mckinney Avenue, Ste 1800
Dallas TX 75201
Yes No Yes Yes
1404976 Ltd Offshore Diamond Black Double 2100 Mckinney Avenue, Ste 1800
Dallas TX 75201
Yes No Yes Yes
1452364 Ltd. Offshore Diamond Black 2100 Mckinney Avenue, Ste 1800
Dallas TX 75201
Yes No Yes Yes
1503915 Asgard Investment Corp. Ii 2100 Mckinney Avenue, Ste 1800
Dallas TX 75201
Yes No Yes Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-12-15 6,000 $11.00 9,018,019 No 4 P Indirect See Footnotes
Common Stock Acquisiton 2015-12-16 29,000 $11.03 9,047,019 No 4 P Indirect See Footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See Footnotes
No 4 P Indirect See Footnotes
Footnotes
  1. The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2).
  2. Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein.