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

Role: Chief Executive Officer
Signature: /s/ Yvette Heinrichson
Stock symbol: SWKH
Transactions as of: Aug 31, 2022
Transactions value $: -$159,166
Form type: 4/A - Amendment
Date filed: 9/21/2022, 08:47 PM
Date Of Original Report: Sep 7, 2021
Previous filing: Jan 3, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	SWKH	Common Stock	Options Exercise	$685K	+50K	+65.22%	$13.70	127K	Aug 31, 2022	Direct
transaction	SWKH	Common Stock	Options Exercise	$938K	+75K	+59.21%	$12.50	202K	Aug 31, 2022	Direct
transaction	SWKH	Common Stock	Tax liability	-$1.78M	-102K	-50.54%	$17.48	99.7K	Aug 31, 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	-50K	-50%	$0.00	50K	Aug 31, 2022	Common Stock	50K	$13.70	Direct	F2
transaction	SWKH	Employee Stock Option (right to buy)	Options Exercise	$0	-75K	-100%	$0.00^*	0	Aug 31, 2022	Common Stock	75K	$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.