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

Role
Chief Executive Officer
Signature
/s/ Winston L. Black III
Stock symbol
SWKH
Transactions as of
Aug 31, 2022
Transactions value $
-$159,166
Form type
4
Date filed
9/7/2022, 05:25 PM
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 -100% $0.00* 0 Aug 31, 2022 Common Stock 50K $13.70 Direct
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.