Form Type: 4

SEC EDGAR Link
Accession Number:0001619039-21-000004
Date:2021-09-30
Issuer: SWK HOLDINGS CORP (SWKH)
Original Submission Date:

Reporting Person:

HAGA CHRISTOPHER W
PO BOX 10809
DAYTONA BEACH, FL 32120

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 897 a $0.00 36,964 direct
COMMON STOCK 2021-10-01 A 1,363 a $0.00 38,327 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. also includes 647 shares issued in connection with the reporting person's voluntary decision to receive shares in lieu of cash compensation for his services as a director, based on the $18.17 closing price of the common stock on september 30, 2021.
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.
WhaleWisdom Logo

Elevate your investments