Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SWK Holdings CorpSWKH · Entity 9770 | PRESIDENT | April 15, 2025 | April 17, 2025 |
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 April 15, 2025 · Filed April 17, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 123,766 |
Ending reported balance
After 2025-04-15 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2025-04-15 · Exercise / conversion · Acquired 15,000 · Balance 130,873 Row 2 · 2025-04-15 · Exercise / conversion · Acquired 18,750 · Balance 149,623 Row 3 · 2025-04-15 · Tax withholding · Disposed 25,857 · Balance 123,766 |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.61 · Expires 2026-07-11 | Direct | 0 |
Reported balance
After 2025-04-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-04-15 · Exercise / conversion · Disposed 15,000 · Balance 0 F1: These options are fully vested and exercisable. |
| Employee Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.50 · Expires 2029-05-24 | Direct | 0 |
Reported balance
After 2025-04-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-04-15 · Exercise / conversion · Disposed 18,750 · Balance 0 F1: These options are fully vested and exercisable. |
Filing footnotes · ownership attribution and instrument terms
F1: These options are fully vested and exercisable.
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 |
|---|---|---|---|---|---|---|
| April 15, 2025 Filed Apr 17, 2025 20:34 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 18,750 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0001062993-25-007630 · form4.xml · derivative · entry 5 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,750 shares Expires 2029-05-24 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. F1 · derivative.exercise_date: These options are fully vested and exercisable. Read SEC document |
| April 15, 2025 Filed Apr 17, 2025 20:34 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionEmployee Stock Option (right to buy) · Derivative | 15,000 | $0.00 Strike: $9.61 | $0.00 |
DisclosureSEC source: 0001062993-25-007630 · form4.xml · derivative · entry 4 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires 2026-07-11 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. F1 · derivative.exercise_date: These options are fully vested and exercisable. Read SEC document |
| April 15, 2025 Filed Apr 17, 2025 20:34 UTC | SWK Holdings Corp SWKH · Entity 9770 | Tax withholdingCommon Stock | 25,857 | $18.10 | $468,011.70 |
DisclosureSEC source: 0001062993-25-007630 · form4.xml · nonDerivative · entry 3 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 123,766 Read SEC document |
| April 15, 2025 Filed Apr 17, 2025 20:34 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionCommon Stock | 18,750 | $12.50 | $234,375.00 |
DisclosureSEC source: 0001062993-25-007630 · form4.xml · nonDerivative · entry 2 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 149,623 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 |
| April 15, 2025 Filed Apr 17, 2025 20:34 UTC | SWK Holdings Corp SWKH · Entity 9770 | Exercise / conversionCommon Stock | 15,000 | $9.61 | $144,150.00 |
DisclosureSEC source: 0001062993-25-007630 · form4.xml · nonDerivative · entry 1 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 130,873 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 |
| January 31, 2025 Filed Feb 4, 2025 21:14 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 36,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-25-001626 · form4.xml · nonDerivative · entry 1 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 115,873 F1 · shares: Represents restricted stock granted pursuant to the Issuer's 2010 Equity Incentive Plan. The restricted stock vests in equal installments on each of January 31, 2026, January 31, 2027, and January 31, 2028, subject to the Reporting Person's continued service through the applicable vesting dates. Read SEC document |
| March 01, 2024 Filed Mar 5, 2024 21:31 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 35,881 | $0.00 | $0.00 |
DisclosureSEC source: 0001062993-24-005512 · form4.xml · nonDerivative · entry 1 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 79,173 F1 · shares: Represents restricted stock granted pursuant to the Issuer's 2010 Equity Incentive Plan. The restricted stock vests in equal installments on each of March 1, 2025, March 1, 2026, and March 1, 2027. Read SEC document |
| September 19, 2022 Filed Sep 22, 2022 01:16 UTC | SWK Holdings Corp SWKH · Entity 9770 | GrantCommon Stock | 23,655 | $0.00 | $0.00 |
DisclosureSEC source: 0000947871-22-001010 · ownership.xml · nonDerivative · entry 1 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,292 F1 · shares: Represents restricted stock granted pursuant to the Issuer's 2010 Equity Incentive Plan. The restricted stock vests in equal installments on each of September 1, 2023, September 1, 2024, September 1, 2025 and September 1, 2026. Read SEC document |
| September 09, 2022 Filed Sep 13, 2022 21:26 UTC | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 2,745 | $16.53 | $45,374.85 |
DisclosureSEC source: 0000947871-22-000963 · ownership.xml · nonDerivative · entry 1 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,641 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.45 to $16.65, inclusive. The reporting person undertakes to provide to SWK Holdings Corporation, any security holder of SWK Holdings Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| September 09, 2022 Filed Sep 16, 2022 21:00 UTC Amendment | SWK Holdings Corp SWKH · Entity 9770 | PurchaseCommon Stock | 2,745 | $16.53 | $45,374.85 |
DisclosureSEC source: 0000947871-22-000977 · ownership.xml · nonDerivative · entry 1 Staggs Joe David JR · CIK 0001946414 · PRESIDENT 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,637 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.45 to $16.65, inclusive. The reporting person undertakes to provide to SWK Holdings Corporation, any security holder of SWK Holdings Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. F2 · balance_after: This Form 4 amends the Form 4 that was filed on September 13, 2022. Due to an administrative error, 2,996 shares were inadvertently omitted from the total amount of securities beneficially owned by the reporting person. 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.