Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SWK Holdings CorpSWKH · Entity 9770 | Chief Executive Officer | August 31, 2022 | September 22, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SWK Holdings Corp
Report date August 31, 2022 · Filed September 22, 2022 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 99,737 |
Last balance in matching sequence
After 2022-08-31 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2022-08-31 · Exercise / conversion · Acquired 50,000 · Balance 126,663 Row 2 · 2022-08-31 · Exercise / conversion · Acquired 75,000 · Balance 201,663 Row 3 · 2022-08-31 · Tax withholding · Disposed 101,926 · Balance 99,737 F1: Shares withheld for exercise price and taxes upon the exercise of stock options. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.70 · Expires 2022-12-31 | Direct | 50,000 |
Reported balance
After 2022-08-31 transaction · row 4
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 4 · 2022-08-31 · Exercise / conversion · Disposed 50,000 · Balance 50,000 F2: This Form 4 amends the Form 4 that was filed on September 7, 2022. Due to an administrative error, 50,000 unvested stock options were inadvertently omitted from the total number of derivative securities beneficially owned by the reporting person. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2022-12-31 | Direct | 0 |
Reported balance
After 2022-08-31 transaction · row 5
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 5 · 2022-08-31 · Exercise / conversion · Disposed 75,000 · Balance 0 |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld for exercise price and taxes upon the exercise of stock options.
F2: This Form 4 amends the Form 4 that was filed on September 7, 2022. Due to an administrative error, 50,000 unvested stock options were inadvertently omitted from the total number of derivative securities beneficially owned by the reporting person.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 31, 2022 Filed Sep 7, 2022 21:25 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0001550168-22-000001 · primary_doc.xml · derivative · entry 5 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2022-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 31, 2022 Filed Sep 7, 2022 21:25 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $13.70 | $0.00 |
DisclosureSEC source: 0001550168-22-000001 · primary_doc.xml · derivative · entry 4 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2022-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 31, 2022 Filed Sep 7, 2022 21:25 UTC | SWK Holdings Corp SWKH · Entity 9770 | Tax withholdingCommon Stock | 101,926 | $17.48 | $1,781,666.48 |
DisclosureSEC source: 0001550168-22-000001 · primary_doc.xml · nonDerivative · entry 3 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,737 F1 · shares: Shares withheld for exercise price and taxes upon the exercise of stock options. Read SEC document |
| August 31, 2022 Filed Sep 7, 2022 21:25 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionCommon Stock | 75,000 | $12.50 | $937,500.00 |
DisclosureSEC source: 0001550168-22-000001 · primary_doc.xml · nonDerivative · entry 2 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,663 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 31, 2022 Filed Sep 7, 2022 21:25 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionCommon Stock | 50,000 | $13.70 | $685,000.00 |
DisclosureSEC source: 0001550168-22-000001 · primary_doc.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,663 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 31, 2022 Filed Sep 22, 2022 00:47 UTC Amendment | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0000947871-22-001009 · ownership.xml · derivative · entry 5 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2022-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 31, 2022 Filed Sep 22, 2022 00:47 UTC Amendment | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $13.70 | $0.00 |
DisclosureSEC source: 0000947871-22-001009 · ownership.xml · derivative · entry 4 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2022-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · balance_after: This Form 4 amends the Form 4 that was filed on September 7, 2022. Due to an administrative error, 50,000 unvested stock options were inadvertently omitted from the total number of derivative securities beneficially owned by the reporting person. Read SEC document |
| August 31, 2022 Filed Sep 22, 2022 00:47 UTC Amendment | SWK Holdings Corp SWKH · Entity 9770 | Tax withholdingCommon Stock | 101,926 | $17.48 | $1,781,666.48 |
DisclosureSEC source: 0000947871-22-001009 · ownership.xml · nonDerivative · entry 3 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,737 F1 · shares: Shares withheld for exercise price and taxes upon the exercise of stock options. Read SEC document |
| August 31, 2022 Filed Sep 22, 2022 00:47 UTC Amendment | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionCommon Stock | 75,000 | $12.50 | $937,500.00 |
DisclosureSEC source: 0000947871-22-001009 · ownership.xml · nonDerivative · entry 2 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,663 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 31, 2022 Filed Sep 22, 2022 00:47 UTC Amendment | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionCommon Stock | 50,000 | $13.70 | $685,000.00 |
DisclosureSEC source: 0000947871-22-001009 · ownership.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,663 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 31, 2021 Filed Jan 3, 2022 21:40 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 75,000 | $0.00 Strike: $8.30 | $0.00 |
DisclosureSEC source: 0000947871-22-000002 · ownership.xml · derivative · entry 3 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2021-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| December 31, 2021 Filed Jan 3, 2022 21:40 UTC | SWK Holdings Corp SWKH · Entity 9770 | Tax withholdingCommon Stock | 50,431 | $19.63 | $989,960.53 |
DisclosureSEC source: 0000947871-22-000002 · ownership.xml · nonDerivative · entry 2 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,663 F1 · shares: Shares withheld for exercise price and taxes upon the exercise of stock options and for taxes upon the vesting of restricted stock awarded to reporting person. Read SEC document |
| December 31, 2021 Filed Jan 3, 2022 21:40 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionCommon Stock | 75,000 | $8.30 | $622,500.00 |
DisclosureSEC source: 0000947871-22-000002 · ownership.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,094 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 15, 2020 Filed Jun 16, 2020 20:48 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 2,600 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001550168-20-000001 · primary_doc.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,094 F1 · price: Includes 2,600 shares issued in connection with reporting person's election to receive a portion of annual bonus in shares in lieu of cash, based on the average common stock closing price of $11.54 for the ten days between April 17, 2020 and April 30, 2020. Read SEC document |
| December 13, 2019 Filed Dec 16, 2019 18:45 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 500 | $11.75 | $5,875.00 |
DisclosureSEC source: 0001550168-19-000003 · primary_doc.xml · nonDerivative · entry 2 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,494 Read SEC document |
| December 13, 2019 Filed Dec 16, 2019 18:45 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 500 | $12.00 | $6,000.00 |
DisclosureSEC source: 0001550168-19-000003 · primary_doc.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,994 Read SEC document |
| September 13, 2019 Filed Sep 13, 2019 20:35 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 100 | $11.30 | $1,130.00 |
DisclosureSEC source: 0001550168-19-000002 · primary_doc.xml · nonDerivative · entry 5 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,494 Read SEC document |
| September 13, 2019 Filed Sep 13, 2019 20:35 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 100 | $11.30 | $1,130.00 |
DisclosureSEC source: 0001550168-19-000002 · primary_doc.xml · nonDerivative · entry 4 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,394 Read SEC document |
| September 13, 2019 Filed Sep 13, 2019 20:35 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 500 | $11.30 | $5,650.00 |
DisclosureSEC source: 0001550168-19-000002 · primary_doc.xml · nonDerivative · entry 3 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,294 Read SEC document |
| September 13, 2019 Filed Sep 13, 2019 20:35 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 100 | $11.30 | $1,130.00 |
DisclosureSEC source: 0001550168-19-000002 · primary_doc.xml · nonDerivative · entry 2 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,794 Read SEC document |
| September 11, 2019 Filed Sep 13, 2019 20:35 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 200 | $10.75 | $2,150.00 |
DisclosureSEC source: 0001550168-19-000002 · primary_doc.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,694 Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 23:12 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock Right to Buy · Derivative | 75,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0001550168-19-000001 · primary_doc.xml · derivative · entry 2 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Underlying: Common Stock · 75,000 shares Expires 2029-01-29 F2 · derivative.exercise_date: Comprised of stock options granted pursuant to the Company's 2010 Equity Incentive Plan and form of Stock Option Agreement. The options vest in thirds on December 31, 2019, December 31, 2020 and December 31, 2021. Read SEC document |
| January 28, 2019 Filed Jan 30, 2019 23:12 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 37,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001550168-19-000001 · primary_doc.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,494 F1 · price: Restricted stock granted pursuant to the Company's 2010 Equity Incentive Plan and form of Restricted Stock Agreement; vests in thirds on December 31, 2019, December 31, 2020 and December 31, 2021. Read SEC document |
| May 19, 2017 Filed May 19, 2017 20:57 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 400 | $11.05 | $4,420.00 |
DisclosureSEC source: 0001550168-17-000002 · primary_doc.xml · nonDerivative · entry 2 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,994 Read SEC document |
| May 18, 2017 Filed May 19, 2017 20:57 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 500 | $11.00 | $5,500.00 |
DisclosureSEC source: 0001550168-17-000002 · primary_doc.xml · nonDerivative · entry 1 BLACK WINSTON L III · CIK 0001550168 · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,594 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.