Form Type: 4

SEC EDGAR Link
Accession Number:0001789490-21-000005
Date:2021-09-30
Issuer: SWK HOLDINGS CORP (SWKH)
Original Submission Date:

Reporting Person:

FLETCHER AARON G.L.
1751 RIVER RUN
SUITE 400 FT WORTH, TX 76107

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-09-30 A 250 a $0.00 9,623 direct
COMMON STOCK 2021-10-01 A 1,363 a $0.00 10,986 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 includes 250 share to the reporting person as compensation for his services as a director.
f2 consists of restricted shares granted to the reporting person as compensation for his services as a director, based on the $18.35 closing price of the common stock on october 1, 2021. the restricted shares vest on october 1,2022.
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