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

Reporting relationship: Chief Executive Officer
Issuer ticker: SWKH
Reported as of: 31 Aug 2022
Net transaction value: -$159,166
SEC form: 4/A - Amendment
Accepted by SEC: 21 Sep 2022, 20:47:37 UTC
Original report date: 07 Sep 2021
Prior SEC filing: 03 Jan 2022
Source filing: View source filing
Reporting owner signature: /s/ Yvette Heinrichson

Key filing fact

Winston L. Black III filed Form 4/A - Amendment for SWK Holdings Corp (SWKH) on 21 Sep 2022.

Key facts

This page summarizes Winston L. Black III's Form 4/A - Amendment filing for SWK Holdings Corp (SWKH).
5 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 21 Sep 2022, 20:47.

Change

Previous filing in this sequence was filed on 03 Jan 2022.
Current net transaction value: -$159,166.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4/A - Amendment disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

SWKH transaction

Common Stock

Options Exercise

Transaction value: $685,000
Shares: +50,000
Change %: +65%
Price: $13.70
Shares after: 126,663
Date: 31 Aug 2022
Ownership: Direct

SWKH transaction

Common Stock

Options Exercise

Transaction value: $937,500
Shares: +75,000
Change %: +59%
Price: $12.50
Shares after: 201,663
Date: 31 Aug 2022
Ownership: Direct

SWKH transaction

Common Stock

Tax liability

Transaction value: $1,781,666
Shares: -101,926
Change %: -51%
Price: $17.48
Shares after: 99,737
Date: 31 Aug 2022
Ownership: Direct
Footnotes: F1

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

SWKH transaction Derivative

Employee Stock Option (right to buy)

Options Exercise

Transaction value: $0
Shares: -50,000
Change %: -50%
Price: $0.000000
Shares after: 50,000
Date: 31 Aug 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 50,000
Exercise price: $13.70
Footnotes: F2

SWKH transaction Derivative

Employee Stock Option (right to buy)

Options Exercise

Transaction value: $0
Shares: -75,000
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 31 Aug 2022
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 75,000
Exercise price: $12.50

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

Shares withheld for exercise price and taxes upon the exercise of stock options.

Footnote 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.