Winston L. Black III - 31 Aug 2022 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 Aug 2022
Net transactions value
-$159,166
Form type
4
Filing time
07 Sep 2022, 17:25:45 UTC
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 -100% $0.000000* 0 31 Aug 2022 Common Stock 50,000 $13.70 Direct
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.