SWK Holdings Corp (OTCMKTS:SWKH): Clint Carlson’s Carlson Capital filed an amended 13D.
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You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Double Black Diamond Offshore Ltd | 0 | 8,493,088 | 0 | 8,493,088 | 8,493,088 | 65.1% |
| Black Diamond Offshore Ltd | 0 | 600,678 | 0 | 600,678 | 600,678 | 4.6% |
| Double Black Diamond | 0 | 100,000 | 0 | 100,000 | 100,000 | 0.8% |
| Carlson Capital | 0 | 9,193,766 | 0 | 9,193,766 | 9,193,766 | 69.9% |
| Asgard Investment Corp. II | 0 | 9,193,766 | 0 | 9,193,766 | 9,193,766 | 69.9% |
| Asgard Investment Corp | 0 | 9,193,766 | 0 | 9,193,766 | 9,193,766 | 69.9% |
| Clint D. Carlson | 0 | 9,193,766 | 0 | 9,193,766 | 9,193,766 | 69.9% |
| Michael D. Weinberg | 57,961 | 0 | 57,961 | 0 | 57,961 | 0.4% |
| Christopher W. Haga | 17,471 | 0 | 17,471 | 0 | 17,471 | 0.1% |
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Page 1 of 16 – SEC Filing
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D/A
(Rule 13d-101)
Under the Securities Exchange Act of 1934
(Amendment No. 9)*
SWK HOLDINGS CORPORATION
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
78501P203
(CUSIP Number)
Joseph Brucchieri
Carlson Capital, L.P.
2100 McKinney Avenue
Dallas, TX 75201
(214) 932-9600
with a copy to:
Joseph A. Coco, Esq.
Skadden, Arps, Slate, Meagher & Flom LLP
Four Times Square
New York, NY 10036
(212) 735-3000
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
March 29, 2018
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. ☐
| * | The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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