organization · Reporting owner
Asgard Investment Corp.
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 | 10% owner | October 23, 2024 | November 01, 2024 |
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 October 23, 2024 · Filed November 01, 2024
Jointly reported with Carlson Capital GP, L.P., Carlson Clint Duane
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.001 per share the "Common Stock"SEC Table I · non-derivative | IndirectSee footnotes | 12,353.51 |
Reported balance
Holding disclosure · report date 2024-10-23 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 12,353.51 F1: The shares of Common Stock to which this relates are held directly by Carlson Capital GP, L.P., a Delaware limited partnership (the "Carlson Capital GP"). F2: Asgard Investment Corp., a Delaware corporation ("Asgard") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital GP. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard and the Carlson Capital GP. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares of Common Stock to which this relates are held directly by Carlson Capital GP, L.P., a Delaware limited partnership (the "Carlson Capital GP").
F2: Asgard Investment Corp., a Delaware corporation ("Asgard") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital GP. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard and the Carlson Capital GP.
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.