13D Filing: Carlson Capital and SWK Holdings Corp (SWKH)

1.

Names of Reporting Persons

Christopher W. Haga

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

(a) ☐ (b) ☐

3.

SEC Use Only

4.

Source of Funds (See Instructions)

OO

5.

Check if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)

☐

6.

Citizenship or Place of Organization

United States

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

7.

Sole Voting Power

17,471 Shares

8.

Shared Voting Power

0

9.

Sole Dispositive Power

17,471 Shares

10.

Shared Dispositive Power

0

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

17,471 Shares

12.

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

☐

13.

Percent of Class Represented by Amount in Row (11)

0.1%

14.

Type of Reporting Person (See Instructions)

IN