Accession Number: | 0001619039-21-000004 |
Date: | 2021-09-30 |
Issuer: | SWK HOLDINGS CORP (SWKH) |
Original Submission Date: |
HAGA CHRISTOPHER W
PO BOX 10809
DAYTONA BEACH, FL 32120
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
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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 |
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 Exercisable | Expiration 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 |
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ID | footnote |
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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. |