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

CUSIP No. 78501P203

Page 7 of 15

1.

Names of Reporting Persons

Asgard Investment Corp.

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)

AF

5.

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

☐

6.

Citizenship or Place of Organization

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

7.

Sole Voting Power

0

8.

Shared Voting Power

9,193,766 Shares (includes warrant to purchase 100,000 Shares)

9.

Sole Dispositive Power

0

10.

Shared Dispositive Power

9,193,766 Shares (includes warrant to purchase 100,000 Shares)

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

9,193,766 Shares (includes warrant to purchase 100,000 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)

69.9%

14.

Type of Reporting Person (See Instructions)

CO