Winston L. Black III - 31 Dec 2021 Form 4 Insider Report for SWK Holdings Corp (SWKH)

Role: Chief Executive Officer
Signature: /s/ Winston L Black III
Issuer symbol: SWKH
Transactions as of: 31 Dec 2021
Net transactions value: -$367,461
Form type: 4
Filing time: 03 Jan 2022, 15:40:12 UTC
Next filing: 07 Sep 2022
SEC: View on sec.gov

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SWKH	Common Stock	Options Exercise	$622,500	+75,000	+144%	$8.30	127,094	31 Dec 2021	Direct
transaction	SWKH	Common Stock	Tax liability	$989,961	-50,431	-40%	$19.63	76,663	31 Dec 2021	Direct	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	SWKH	Employee Stock Option (right to buy)	Options Exercise	$0	-75,000	-100%	$0.000000^*	0	31 Dec 2021	Common Stock	75,000	$8.30	Direct

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Shares withheld for exercise price and taxes upon the exercise of stock options and for taxes upon the vesting of restricted stock awarded to reporting person.