person · Reporting owner
DOUBLE BLACK DIAMOND, L.P.
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SWK Holdings CorpSWKH · Entity 9770 | Director · 10% owner · See Remarks | May 18, 2017 | May 22, 2017 |
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 May 18, 2017 · Filed May 22, 2017
Jointly reported with Carlson Capital, L.P., Asgard Investment Corp., Carlson Clint Duane, Double Black Diamond Offshore Ltd, Black Diamond Offshore Ltd., Asgard Investment Corp. II
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 9,093,766 |
Last balance in matching sequence
After 2017-05-19 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2017-05-18 · Purchase · Acquired 1,600 · Balance 9,085,619 F1: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2). F2: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. Row 2 · 2017-05-19 · Purchase · Acquired 8,147 · Balance 9,093,766 F1: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2). F2: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2).
F2: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| May 19, 2017 Filed May 22, 2017 20:27 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 8,147 | $11.00 | $89,617.00 |
DisclosureSEC source: 0001140361-17-021728 · doc1.xml · nonDerivative · entry 2 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner · See Remarks DOUBLE BLACK DIAMOND, L.P. · CIK 0001056352 · Director · 10% owner · See Remarks Asgard Investment Corp. · CIK 0001404557 · Director · 10% owner · See Remarks Carlson Clint Duane · CIK 0001404625 · Director · 10% owner · See Remarks Double Black Diamond Offshore Ltd · CIK 0001404976 · Director · 10% owner · See Remarks Black Diamond Offshore Ltd. · CIK 0001452364 · Director · 10% owner · See Remarks Asgard Investment Corp. II · CIK 0001503915 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 9,093,766 F1 · ownership.nature: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2). F2 · ownership.nature: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| May 18, 2017 Filed May 22, 2017 20:27 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 1,600 | $11.00 | $17,599.04 |
DisclosureSEC source: 0001140361-17-021728 · doc1.xml · nonDerivative · entry 1 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner · See Remarks DOUBLE BLACK DIAMOND, L.P. · CIK 0001056352 · Director · 10% owner · See Remarks Asgard Investment Corp. · CIK 0001404557 · Director · 10% owner · See Remarks Carlson Clint Duane · CIK 0001404625 · Director · 10% owner · See Remarks Double Black Diamond Offshore Ltd · CIK 0001404976 · Director · 10% owner · See Remarks Black Diamond Offshore Ltd. · CIK 0001452364 · Director · 10% owner · See Remarks Asgard Investment Corp. II · CIK 0001503915 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 9,085,619 F1 · ownership.nature: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2). F2 · ownership.nature: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| May 17, 2017 Filed May 17, 2017 21:43 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 500 | $10.85 | $5,425.00 |
DisclosureSEC source: 0001140361-17-021227 · doc1.xml · nonDerivative · entry 3 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner · See Remarks DOUBLE BLACK DIAMOND, L.P. · CIK 0001056352 · Director · 10% owner · See Remarks Asgard Investment Corp. · CIK 0001404557 · Director · 10% owner · See Remarks Carlson Clint Duane · CIK 0001404625 · Director · 10% owner · See Remarks Double Black Diamond Offshore Ltd · CIK 0001404976 · Director · 10% owner · See Remarks Black Diamond Offshore Ltd. · CIK 0001452364 · Director · 10% owner · See Remarks Asgard Investment Corp. II · CIK 0001503915 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 9,084,019 F1 · ownership.nature: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2). F2 · ownership.nature: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| May 15, 2017 Filed May 17, 2017 21:43 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 10,000 | $11.11 | $111,050.00 |
DisclosureSEC source: 0001140361-17-021227 · doc1.xml · nonDerivative · entry 2 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner · See Remarks DOUBLE BLACK DIAMOND, L.P. · CIK 0001056352 · Director · 10% owner · See Remarks Asgard Investment Corp. · CIK 0001404557 · Director · 10% owner · See Remarks Carlson Clint Duane · CIK 0001404625 · Director · 10% owner · See Remarks Double Black Diamond Offshore Ltd · CIK 0001404976 · Director · 10% owner · See Remarks Black Diamond Offshore Ltd. · CIK 0001452364 · Director · 10% owner · See Remarks Asgard Investment Corp. II · CIK 0001503915 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 9,083,519 F1 · ownership.nature: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2). F2 · ownership.nature: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. Read SEC document |
| May 15, 2017 Filed May 17, 2017 21:43 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 19,900 | $11.10 | $220,890.00 |
DisclosureSEC source: 0001140361-17-021227 · doc1.xml · nonDerivative · entry 1 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner · See Remarks DOUBLE BLACK DIAMOND, L.P. · CIK 0001056352 · Director · 10% owner · See Remarks Asgard Investment Corp. · CIK 0001404557 · Director · 10% owner · See Remarks Carlson Clint Duane · CIK 0001404625 · Director · 10% owner · See Remarks Double Black Diamond Offshore Ltd · CIK 0001404976 · Director · 10% owner · See Remarks Black Diamond Offshore Ltd. · CIK 0001452364 · Director · 10% owner · See Remarks Asgard Investment Corp. II · CIK 0001503915 · Director · 10% owner · See Remarks Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 9,073,519 F1 · ownership.nature: The shares of Common Stock of SWK Holdings Corp described herein were acquired directly, and held beneficially, by Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("DOF"), and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("OFF"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson"), serves as investment manager to, and has the power to direct the affairs of, DOF and OFF. Carlson also serves as the investment manager, with the power to direct the affairs, of Double Black Diamond, L.P., a Delaware limited partnership ("DBD LP"), which did not acquire or dispose of any securities in connection with the transactions reported herein, but which holds a warrant exercisable for 1,000,000 shares of Common Stock. (Continued in Footnote 2). F2 · ownership.nature: Asgard Investment Corp. II, a Delaware corporation ("Asgard II"), serves as general partner, and has the power to direct the affairs, of Carlson. Asgard Investment Corp., a Delaware corporation ("Asgard"), is the sole stockholder, and has the power to direct the affairs, of Asgard II. Clint D. Carlson, a U.S. citizen ("Mr. Carlson"), serves as president, and has the power to direct the affairs, of Asgard II, Asgard and Carlson. Each reporting person disclaims beneficial ownership of the securities to which this Form 4 relates for the purposes of Section 16 of the Securities and Exchange Act of 1934, as amended, except to the extent of such reporting person's pecuniary interest therein. 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.