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Home > Insider Trading > Latest 13D and 13G Filings > 13G Filing (0001058854-23-000020)

Filing Details

Accession Number:
0001058854-23-000020
Form Type:
13G Filing
Publication Date:
2023-04-16 20:00:00
Filed By:
Cannell Capital
Company:
Swk Holdings Corp (NASDAQ:SWKH)
Filing Date:
2023-04-17
SEC Url:
13G Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Cannell Capital 0 958,127 0 958,127 958,127 7.48%
Filing 
  
			SECURITIES AND EXCHANGE COMMISSION
		  
 
  
			Washington, D.C. 20549
		  
 
 
  
			SCHEDULE 13G
		  
 
  
			(Rule 13d-102)
		  
 
 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT 
 
 TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED 
 
 PURSUANT TO §240.13d-2  
 
  
			(Amendment No.1)
			1   
 
 
 SWK HOLDINGS CORPORATION 
 
 (Name of Issuer) 
 
 Common Stock, par value $0.001 per share 
 
 (Title of Class of Securities) 
 
 78501P203 
 
 (CUSIP Number) 
 
 April 14, 2023 
 
 (Date of Event Which Requires Filing of This Statement) 
 
 
 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: 
 

	 ☑  
	Rule 13d-1(b) 
 

	☐  
	Rule 13d-1(c) 
 

	☐  
	Rule 13d-1(d) 
 
 1  
	 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).

 
 
  CUSIP No.78501P203  Page 2 of 7 Pages 
 
 
 
 
		1
	  
NAMES OF REPORTING PERSONS
 
J. Carlo Cannell
 		 
 
 
		2
	  
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
(a)  ☐
 
(b)  ☐
 		  
 
 
		3
	  
SEC USE ONLY
 		  
 
 
		4
	  
CITIZENSHIP OR PLACE OF ORGANIZATION
 
USA
 		 
 
  
NUMBER OF SHARES
 
BENEFICIALLY OWNED BY
 
EACH REPORTING 
 
PERSON WITH
 		 
	5
	  
SOLE VOTING POWER
 
0
 		 
 
 
	6
	  
SHARED VOTING POWER
 
958,127
 		 
 
 
	7
	  
SOLE DISPOSITIVE POWER
 
0
 		 
 
 
	8
	  
SHARED DISPOSITIVE POWER
 
958,127
 		 
 
 
		9
	  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
958,127
 		 
 
 
		10
	  
 	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES  ☐
 
(see instructions)
 		 
 
 
		11
	  
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
 
7.48%
 		 
 
 
		12
	  
TYPE OF REPORTING PERSON
 
IN
 		 
 
         
 
 
 
  CUSIP No.78501P203  Page 3 of 7 Pages 
 
 
 
 
		1
	  
NAMES OF REPORTING PERSONS
 
I.R.S. Identification Nos. of Above Persons (Entities Only)
 
Cannell Capital LLC
 
94-3366999
 		 
 
 
		2
	  
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
 
(a)  ☐
 
(b)  ☐
 		  
 
 
		3
	  
SEC USE ONLY
 		  
 
 
		4
	  
CITIZENSHIP OR PLACE OF ORGANIZATION
 
Wyoming, USA
 		 
 
  
NUMBER OF SHARES
 
BENEFICIALLY OWNED BY
 
EACH REPORTING 
 
PERSON WITH
 		 
	5
	  
SOLE VOTING POWER
 
0
 		 
 
 
	6
	  
SHARED VOTING POWER
 
958,127
 		 
 
 
	7
	  
SOLE DISPOSITIVE POWER
 
0
 		 
 
 
	8
	  
SHARED DISPOSITIVE POWER
 
958,127
 		 
 
 
		9
	  
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
958,127
 		 
 
 
		10
	  
 	CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES  ☐
 
(see instructions)
 		 
 
 
		11
	  
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
 
7.48%
 		 
 
 
		12
	  
TYPE OF REPORTING PERSON
 
IA
 		 
 
         
 
 
 
  CUSIP No.78501P203  Page 4 of 7 Pages 
 
 
 
      
 
  Item 1.  
 
    
 a) 
 		  
 Name of Issuer 
 
SWK Holdings Corporation
 		 
 
    
 b) 
 		  
 Address of issuer's principal executive offices: 
 

			14755 Preston Road, Suite 105
		
 

			Dallas, TX 75254
		
 		 
 
  Item 2.  
 
    
 a) 
 		  
 Name of person filing: 
 

			Cannell Capital LLC
		
 		 
 
    
 b) 
 		  
 Address or principal business office or, if none, residence: 
 

			245 Meriwether Circle
		
 

			Alta, WY 83414
		
 		 
 
    
 c) 
 		  
 Citizenship: 
 

			Wyoming, USA
		
 		 
 
    
 d) 
 		  
 Title of class of securities: 
 

			Common Stock
		
 		 
 
    
 e) 
 		  
 CUSIP No.: 
 

			78501P203
		
 		 
 
  Item 3.  
 
      If this statement is filed pursuant to §240.13d-1(b) or §240.13d-2(b) or (c), check whether the person filing is a:  
 
      
(a)
 		 
	☐
	  
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
 		 
 
      
(b)
 		 
	☐
	  
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
 		 
 
      
(c)
 		 
	☐
	  
Insurance company as defined in section 3(a)(19) of the Act(15 U.S.C. 78c).
 		 
 
      
(d)
 		 
	☐
	  
An Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
 		 
 
      
(e)
 		 
	☑
	  
An investment adviser in accordance with Section §240.13d-1(b)(1)(ii)(E).
 		 
 
      
(f)
 		 
	☐
	  
An Employee benefit plan or endowment fund in accordance with Section §240.13d-1(b)(1)(ii)(F).
 		 
 
      
(g)
 		 
	☐
	  
A Parent holding company or control person in accordance with Section §240.13d-1(b)(1)(ii)(G).
 		 
 
      
(h)
 		 
	☐
	  
A Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
 		 
 
      
(i)
 		 
	☐
	  
A Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3).
 		 
 
      
(j)
 		 
	☐
	  
A non-U.S. institution in accordance with Section §240.13d-1(b)(1)(ii)(J).
 		 
 
      
(k)
 		 
	☐
	  
Group, in accordance with Section §240.13d-1(b)(1)(ii)(J).
 		 
 
 
 
  CUSIP No.78501P203  Page 5 of 7 Pages 
 
 
 
      
 
  Item 4.    Ownership  
 
      
			Provide the following information regarding the aggregate number and
			percentage of the class of securities of the issuer identified in Item 1.
		  
 
      
(a)
 		  
Amount beneficially owned: 958,127.
 		 
 
      
(b)
 		  
 Percent of class: 7.48%.
 		 
 
      
(c)
 		  
 Number of shares as to which the person has:
 		 
 
      (i) Sole power to vote or to direct the vote 0. 
 
    (ii) Shared power to vote or to direct the vote 958,127. 
 
    (iii) Sole power to dispose or to direct the disposition of 0. 
 
    (iv) Shared power to dispose or to direct the disposition of 958,127.
			Instruction. For computations regarding securities which represent a right
			to acquire an underlying security see §240.13d-3(d)(1).
	
	 
 
  Item 5.    Ownership of 5 Percent or Less of a Class.   
 
   Not Applicable.
		
	 
 
  Item 6.    Ownership of More than Five Percent on Behalf of Another Person.  
 
   Not Applicable.
		
	 
 
  Item 7.    Identification and Classification of the Subsidiary Which Acquired
			the Security Being Reported on by the Parent Holding Company or Control Person.   
 
   Not Applicable.
	
	 
 
  Item 8.    Identification and Classification of Members of the Group.  
 
   Not Applicable.
		
	 
 
  Item 9.    Notice of Dissolution of Group.  
 
   
		Not Applicable.
		
	 
 
  Item 10.    Certifications.  
 
   Not Applicable.
		
	 
 
 
 
  CUSIP No.78501P203  Page 6 of 7 Pages 
 
 

	By signing below I certify that, to the best of my knowledge and belief, the
	securities referred to above were acquired and are held in the ordinary course
	of business and were not acquired and are not held for the purpose of or with
	the effect of changing or influencing the control of the issuer of the
	securities and were not acquired and are not held in connection with or as a
	participant in any transaction having that purpose or effect.

 

	SIGNATURE

 

	After reasonable inquiry and to the best of my knowledge and belief, I certify
	that the information set forth in this statement is true, complete and correct.

 
 
   
 04/14/2023                             
 

			Date       
			
 		 
 
   
 By:  /s/ J. Carlo Cannell                  
 

				Name:  J. Carlo Cannell
			
 		 
 
 
 
   
 Cannell Capital LLC 
 
 By:  /s/ J. Carlo Cannell                  
 

				Name:  J. Carlo Cannell
			
 

				Title:  Managing Member
			
 		 
 
 
 
  CUSIP No.78501P203  Page 7 of 7 Pages 
 
 

	Exhibit A

 

	Agreement Regarding the Joint Filing of Schedule 13G

 
 
  The undersigned hereby agree as follows:  
 
   
	1)
	 
	Each of them is individually eligible to use the Schedule 13G to which this
	Exhibit is attached, and such Schedule 13G is filed on behalf each of them;
	 
 
   
	2)
	 
	Each of them is responsible for the timely filing of such Schedule 13G and
	any amendments thereto, and for the completeness and accuracy of the
	information concerning such person contained therein; but none of them is
	responsible for the completeness or accuracy of the information concerning the
	other persons making the filing, unless such person knows or has reason to
	believe that such information is inaccurate.
	 
 
           
 
 
 
   
 By:  /s/ J. Carlo Cannell                  
 

				Name:  J. Carlo Cannell
			
 		 
 
 
 
   
 Cannell Capital LLC 
 
 By:  /s/ J. Carlo Cannell                  
 

				Name:  J. Carlo Cannell
			
 

				Title:  Managing Member