Form 4 for SWKHL SWK Holdings Corp

Accepted 2021-10-01 00:00:00 ET · period of report 2021-09-30 · accession 0001864079-21-000003 · 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
M	2021-10-01	2021-09-30+	SWKHL	Pennington Marcus Edward	Dir	A - Grant	—	+2,232	1,889	New	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-10-01	A	A	1,363	—	3,252	D	—	—	(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.
2	Common	Common Stock	2021-09-30	A	A	869	—	1,889	D	—	—	(F1) Includes 250 share to the Reporting Person as compensation for his services as a director. Also includes 619 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.