Carlson Capital, L.P. - 06 Apr 2026 Form 4 Insider Report for SWK Holdings Corp (SWKH)

Reporting relationship: 10%+ Owner
Issuer ticker: SWKH
Reported as of: 06 Apr 2026
Net transaction value: $0
SEC form: 4
Accepted by SEC: 08 Apr 2026, 07:00:09 UTC
Prior SEC filing: 25 Oct 2024
Next SEC filing: 13 Apr 2026
Source filing: View source filing
Reporting owner signature: Carlson Capital, L.P., By: /s/ Clint D. Carlson, Title: President

Key filing fact

Carlson Capital, L.P. filed Form 4 for SWK Holdings Corp (SWKH) on 08 Apr 2026.

Key facts

This page summarizes Carlson Capital, L.P.'s Form 4 filing for SWK Holdings Corp (SWKH).
10 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 08 Apr 2026, 07:00.

Change

Previous filing in this sequence was filed on 25 Oct 2024.
Current net transaction value: $0.

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 disclosures.

View source filing

Reporting Owners (2)

CIK 0001056973 Primary reporting owner

Carlson Capital, L.P.

Relationship: 10%+ Owner
Address: 2100 MCKINNEY AVE, STE 1900, DALLAS
Signature: Carlson Capital, L.P., By: /s/ Clint D. Carlson, Title: President
Signature date: 08 Apr 2026

CIK 0001404625

Carlson Clint Duane

Relationship: 10%+ Owner
Address: 2100 MCKINNEY AVENUE, STE 1900, DALLAS
Signature: Clint D. Carlson, By: /s/ Clint D. Carlson
Signature date: 08 Apr 2026

Reported non-derivative transactions

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

SWKH transaction

Common Stock, par value $0.01 per share (the "Common Stock")

Other

Transaction value
Shares: -8,493,088
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F3

SWKH transaction

Common Stock, par value $0.01 per share (the "Common Stock")

Other

Transaction value
Shares: -8,493,088
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F3

SWKH transaction

Common Stock

Other

Transaction value
Shares: -12,287
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F4

SWKH transaction

Common Stock

Other

Transaction value
Shares: -12,287
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F4

SWKH transaction

Common Stock

Other

Transaction value
Shares: -399,567
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F5

SWKH transaction

Common Stock

Other

Transaction value
Shares: -399,567
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F5

SWKH transaction

Common Stock

Other

Transaction value
Shares: -62,106
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F6

SWKH transaction

Common Stock

Other

Transaction value
Shares: -62,106
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F6

SWKH transaction

Common Stock

Other

Transaction value
Shares: -62,106
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F7

SWKH transaction

Common Stock

Other

Transaction value
Shares: -62,106
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F7

SWKH transaction

Common Stock

Other

Transaction value
Shares: -62,106
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F8

SWKH transaction

Common Stock

Other

Transaction value
Shares: -62,106
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F8

SWKH transaction

Common Stock

Other

Transaction value
Shares: -2,506
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F9

SWKH transaction

Common Stock

Other

Transaction value
Shares: -2,506
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: Direct
Footnotes: F1, F2, F9

SWKH transaction

Common Stock

Other

Transaction value
Shares: -8,493,088
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: See footnote
Footnotes: F1, F2, F10

SWKH transaction

Common Stock

Other

Transaction value
Shares: -8,493,088
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: See footnote
Footnotes: F1, F2, F10

SWKH transaction

Common Stock

Other

Transaction value
Shares: -8,493,088
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: See footnote
Footnotes: F1, F2, F11

SWKH transaction

Common Stock

Other

Transaction value
Shares: -8,493,088
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: See footnote
Footnotes: F1, F2, F11

SWKH transaction

Common Stock

Other

Transaction value
Shares: -8,632,093
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: See footnote
Footnotes: F1, F2, F12

SWKH transaction

Common Stock

Other

Transaction value
Shares: -8,632,093
Change %: -100%
Price: $0.000000^*
Shares after: 0
Date: 06 Apr 2026
Ownership: See footnote
Footnotes: F1, F2, F12

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

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Carlson Capital, L.P. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 12 footnotes

Footnote F1

On April 6, 2026, pursuant to the Agreement and Plan of Merger dated as of October 9, 2025 (the "Merger Agreement"), Runway Growth Finance Corp. ("Parent"), RWAY Portfolio Holding Corp., RWAY Portfolio Corp. ("Acquisition Sub"), Runway Growth Capital LLC ("Adviser") and SWK Holdings Corporation ("SWK") effected a merger pursuant to which SWK was merged with and into Acquisition Sub (the "First Merger"). Pursuant to the Merger Agreement, upon completion of the First Merger (the "Effective Time"), each issued and outstanding common stock of SWK ("SWK Common Stock") was cancelled and converted into the right to receive (i) either (A) 1.7264 shares of common stock, par value $0.01 per share, of Parent ("Parent Common Stock" and such consideration,

Footnote F2

(Continued from footnote 1) the "Per Share Stock Consideration") or (B) $20.59 in cash (the "Per Share Cash Consideration") (in each case, based on the election of the holder thereof in accordance with the terms of the Merger Agreement and subject to proration as provided therein) plus (ii) $0.74 in cash, which represents a pro rata share of the guaranteed cash payment paid by the Adviser (the "Per Share Guaranteed Cash Payment" and collectively with the Per Share Stock Consideration and the Per Share Cash Consideration, the "Total Per Share Consideration").

Footnote F3

The shares of SWK Common Stock to which this relates were held directly by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company (the "Fund"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Fund. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II, Carlson Capital, and any of its affiliated entities and related parties ("Mr. Clint D. Carlson"). Each of the reporting persons disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except as to such extent of the reporting person's pecuniary interest in the securities.

Footnote F4

These shares of SWK Common Stock were held directly by Carlson Capital GP, L.P., an affiliated entity to Carlson Capital. Carlson Capital GP, L.P. disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.

Footnote F5

These shares of SWK Common Stock were held directly by Mr. Clint D. Carlson. Mr. Clint D. Carlson disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Footnote F6

These shares of SWK Common Stock were held directly by Lewis Carlson, an individual who works at Carlson Capital. Lewis Carlson disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Footnote F7

These shares of SWK Common Stock were held directly by Owen Augustus Carlson 1997 A Trust, a related party to Carlson Capital. Owen Augustus Carlson 1997 A Trust disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.

Footnote F8

These shares of SWK Common Stock were held directly by Julian Orlando Carlson 1997 A Trust, a related party to Carlson Capital. Julian Orlando Carlson 1997 A Trust disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.

Footnote F9

These shares of SWK Common Stock were held directly by The Carlson Foundation, an affiliated entity to Carlson Capital. The Carlson Foundation disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.

Footnote F10

These shares of SWK Common Stock were held by Carlson Capital as the investment manager to the Fund. Carlson Capital disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Footnote F11

These shares of SWK Common Stock were held by Asgard II as the general partner of Carlson Capital who serves as the investment manager to the Fund. Asgard II disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.

Footnote F12

These shares of SWK Common Stock were held by Mr. Clint D. Carlson as the president of Carlson Capital, Carlson Capital GP, The Carlson Foundation, and Asgard II. Mr. Clint D. Carlson is also the Chief Investment Officer of the investment manager of the Fund. Furthermore, immediate family members of Mr. Clint D. Carlson held shares. Each disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.