4//SEC Filing
SWK Holdings Corp 4
Accession 0001140361-15-044836
$SWKHCIK 0001089907operating
Filed
Dec 16, 7:00 PM ET
Accepted
Dec 17, 11:52 AM ET
Size
17.9 KB
Accession
0001140361-15-044836
Insider Transaction Report
Form 4
Asgard Investment Corp.
10% Owner
Transactions
- Purchase
Common Stock
2015-12-16$11.03/sh+29,000$319,795→ 9,047,019 total(indirect: See Footnotes) - Purchase
Common Stock
2015-12-15$11.00/sh+6,000$66,000→ 9,018,019 total(indirect: See Footnotes)
Carlson Clint Duane
10% Owner
Transactions
- Purchase
Common Stock
2015-12-15$11.00/sh+6,000$66,000→ 9,018,019 total(indirect: See Footnotes) - Purchase
Common Stock
2015-12-16$11.03/sh+29,000$319,795→ 9,047,019 total(indirect: See Footnotes)
Black Diamond Offshore Ltd.
10% Owner
Transactions
- Purchase
Common Stock
2015-12-15$11.00/sh+6,000$66,000→ 9,018,019 total(indirect: See Footnotes) - Purchase
Common Stock
2015-12-16$11.03/sh+29,000$319,795→ 9,047,019 total(indirect: See Footnotes)
CARLSON CAPITAL L P
10% Owner
Transactions
- Purchase
Common Stock
2015-12-16$11.03/sh+29,000$319,795→ 9,047,019 total(indirect: See Footnotes) - Purchase
Common Stock
2015-12-15$11.00/sh+6,000$66,000→ 9,018,019 total(indirect: See Footnotes)
DOUBLE BLACK DIAMOND L P
10% Owner
Transactions
- Purchase
Common Stock
2015-12-16$11.03/sh+29,000$319,795→ 9,047,019 total(indirect: See Footnotes) - Purchase
Common Stock
2015-12-15$11.00/sh+6,000$66,000→ 9,018,019 total(indirect: See Footnotes)
Double Black Diamond Offshore Ltd
10% Owner
Transactions
- Purchase
Common Stock
2015-12-15$11.00/sh+6,000$66,000→ 9,018,019 total(indirect: See Footnotes) - Purchase
Common Stock
2015-12-16$11.03/sh+29,000$319,795→ 9,047,019 total(indirect: See Footnotes)
Asgard Investment Corp. II
10% Owner
Transactions
- Purchase
Common Stock
2015-12-15$11.00/sh+6,000$66,000→ 9,018,019 total(indirect: See Footnotes) - Purchase
Common Stock
2015-12-16$11.03/sh+29,000$319,795→ 9,047,019 total(indirect: See Footnotes)
Footnotes (2)
- [F1]The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2).
- [F2]Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person 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 to the extent of such reporting person's pecuniary interest therein.
Documents
Issuer
SWK Holdings Corp
CIK 0001089907
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001089907
Filing Metadata
- Form type
- 4
- Filed
- Dec 16, 7:00 PM ET
- Accepted
- Dec 17, 11:52 AM ET
- Size
- 17.9 KB