Winston L. Black III - 31 Aug 2022 Form 4/A - Amendment Insider Report for SWK Holdings Corp (SWKH)

Role
Chief Executive Officer
Signature
/s/ Yvette Heinrichson
Issuer symbol
SWKH
Transactions as of
31 Aug 2022
Net transactions value
-$159,166
Form type
4/A - Amendment
Filing time
21 Sep 2022, 20:47:37 UTC
Date Of Original Report
07 Sep 2021
Previous filing
03 Jan 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 $685,000 +50,000 +65% $13.70 126,663 31 Aug 2022 Direct
transaction SWKH Common Stock Options Exercise $937,500 +75,000 +59% $12.50 201,663 31 Aug 2022 Direct
transaction SWKH Common Stock Tax liability $1,781,666 -101,926 -51% $17.48 99,737 31 Aug 2022 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 -50,000 -50% $0.000000 50,000 31 Aug 2022 Common Stock 50,000 $13.70 Direct F2
transaction SWKH Employee Stock Option (right to buy) Options Exercise $0 -75,000 -100% $0.000000* 0 31 Aug 2022 Common Stock 75,000 $12.50 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.
F2 This Form 4 amends the Form 4 that was filed on September 7, 2022. Due to an administrative error, 50,000 unvested stock options were inadvertently omitted from the total number of derivative securities beneficially owned by the reporting person.