Form 4/A for SWKHL SWK Holdings Corp
Accepted 2022-09-21 00:00:00 ET · period of report 2022-08-31 · accession 0000947871-22-001009 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMA | 2022-09-21 | 2022-08-31 | SWKHL | BLACK WINSTON L III | CEO | M - OptEx | $12.98 | +125.0K | 201.7K | +163% | +$1.62M |
| DA | 2022-09-21 | 2022-08-31 | SWKHL | BLACK WINSTON L III | CEO | F - Tax | $17.48 | -101.9K | 99.7K | -51% | -$1.78M |
| DMA | 2022-09-21 | 2022-08-31 | SWKHL | BLACK WINSTON L III | CEO | M - OptEx | $0.00 | -125.0K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-08-31 | M | A | 50,000 | $13.70 | 126,663 | D | — | — | |
| 2 | Common | Common Stock | 2022-08-31 | M | A | 75,000 | $12.50 | 201,663 | D | — | — | |
| 3 | Common | Common Stock | 2022-08-31 | F | D | 101,926 | $17.48 | 99,737 | D | — | — | (F1) Shares withheld for exercise price and taxes upon the exercise of stock options. |
| 4 | Derivative | Employee Stock Option (right to buy) | 2022-08-31 | M | D | 50,000 | $0.00 | 50,000 | D | $13.70 · 2019-01-01 to 2022-12-31 | 50,000 Common Stock | (F2) This Form 4 amends the Form 4 that was filed on September 7, 2022. Due to an administrative error, 50,000 unvested stock options were inadvertently omitted from the total number of derivative securities beneficially owned by the reporting person. |
| 5 | Derivative | Employee Stock Option (right to buy) | 2022-08-31 | M | D | 75,000 | $0.00 | 0 | D | $12.50 · 2022-01-01 to 2022-12-31 | 75,000 Common Stock |