organization · Reporting owner
Black Diamond Offshore Ltd.
Disclosed activity across 2 companies
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 | October 25, 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 October 25, 2024
Jointly reported with Carlson Capital, L.P., Double Black Diamond Offshore Ltd, Asgard Investment Corp. II, Carlson Clint Duane
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share (the "Common Stock")SEC Table I · non-derivative | IndirectSee footnote | 0 |
Reported balance
After 2024-10-23 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-10-23 · Other · Disposed 600,678 · Balance 0 F1: Transaction reflects pro rata in-kind distributions by Black Diamond Offshore Ltd. of 600,678 Common Stock. Clint Carlson received 399,394.19 Common Stock. Lewis Carlson received 62,078.97 Common Stock. Owen Augustus Carlson 1997 A Trust received 62,078.97 Common Stock. Julian Orlando Carlson 1997 A Trust received 62,078.97 Common Stock. Carlson Capital GP, L.P. received 12,353.51 Common Stock. The Carlson Foundation received 2,693.40 Common Stock. F2: Carlson Capital, L.P., a Delaware limited partnership, serves as the investment manager to, and has the power to direct the affairs of, Black Diamond Offshore Ltd., a Cayman Islands exempt company, and Double Black Diamond Offshore Ltd, a Cayman Islands exempt company (together, the "Funds"). Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, the Funds. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and the Funds. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,493,088 |
Reported balance
Holding disclosure · report date 2024-10-23 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 8,493,088 F2: Carlson Capital, L.P., a Delaware limited partnership, serves as the investment manager to, and has the power to direct the affairs of, Black Diamond Offshore Ltd., a Cayman Islands exempt company, and Double Black Diamond Offshore Ltd, a Cayman Islands exempt company (together, the "Funds"). Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, the Funds. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and the Funds. F3: The shares of Common Stock to which this relates are held directly by Double Black Diamond Offshore, Ltd. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction reflects pro rata in-kind distributions by Black Diamond Offshore Ltd. of 600,678 Common Stock. Clint Carlson received 399,394.19 Common Stock. Lewis Carlson received 62,078.97 Common Stock. Owen Augustus Carlson 1997 A Trust received 62,078.97 Common Stock. Julian Orlando Carlson 1997 A Trust received 62,078.97 Common Stock. Carlson Capital GP, L.P. received 12,353.51 Common Stock. The Carlson Foundation received 2,693.40 Common Stock.
F2: Carlson Capital, L.P., a Delaware limited partnership, serves as the investment manager to, and has the power to direct the affairs of, Black Diamond Offshore Ltd., a Cayman Islands exempt company, and Double Black Diamond Offshore Ltd, a Cayman Islands exempt company (together, the "Funds"). Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, the Funds. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and the Funds.
F3: The shares of Common Stock to which this relates are held directly by Double Black Diamond Offshore, Ltd.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Magnera Corp
Report date September 25, 2024 · Filed September 26, 2024
Jointly reported with Carlson Capital, L.P., Double Black Diamond Offshore Ltd, Asgard Investment Corp. II, Carlson Clint Duane
Section 16 reporting ended · disclosed 2024-09-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per share (the "Common Stock")SEC Table I · non-derivative | IndirectSee footnotes | 4,335,000 |
Reported balance
After 2024-09-25 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2024-09-25 · Sale · Disposed 320,691 · Balance 4,335,000 F1: Transaction reflects direct disposition by Double Black Diamond Offshore Ltd., a Cayman Islands exempt company (the "Double Offshore") of 320,691 shares. F2: The shares of Common Stock to which this relates are held directly by Double Offshore and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Offshore", together with Double Offshore, the "Funds"). F3: Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Funds. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. Each of the reporting persons 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 as to such extent of the reporting person's pecuniary interest in the securities. |
Filing footnotes · ownership attribution and instrument terms
F1: Transaction reflects direct disposition by Double Black Diamond Offshore Ltd., a Cayman Islands exempt company (the "Double Offshore") of 320,691 shares.
F2: The shares of Common Stock to which this relates are held directly by Double Offshore and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Offshore", together with Double Offshore, the "Funds").
F3: Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Funds. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. Each of the reporting persons 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 as to such extent of the reporting person's pecuniary interest in the securities.
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 |
|---|---|---|---|---|---|---|
| October 23, 2024 Filed Oct 25, 2024 20:43 UTC | SWK Holdings Corp SWKH · Entity 9770 | OtherCommon Stock, par value $0.01 per share (the "Common Stock") | 600,678 | $0.00 | $0.00 |
DisclosureSEC source: 0000950170-24-117453 · ownership.xml · nonDerivative · entry 1 Carlson Capital, L.P. · CIK 0001056973 · 10% owner Black Diamond Offshore Ltd. · CIK 0001452364 · 10% owner Double Black Diamond Offshore Ltd · CIK 0001404976 · 10% owner Asgard Investment Corp. II · CIK 0001503915 · 10% owner Carlson Clint Duane · CIK 0001404625 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 F1 · kind: Transaction reflects pro rata in-kind distributions by Black Diamond Offshore Ltd. of 600,678 Common Stock. Clint Carlson received 399,394.19 Common Stock. Lewis Carlson received 62,078.97 Common Stock. Owen Augustus Carlson 1997 A Trust received 62,078.97 Common Stock. Julian Orlando Carlson 1997 A Trust received 62,078.97 Common Stock. Carlson Capital GP, L.P. received 12,353.51 Common Stock. The Carlson Foundation received 2,693.40 Common Stock. F1 · acquired: Transaction reflects pro rata in-kind distributions by Black Diamond Offshore Ltd. of 600,678 Common Stock. Clint Carlson received 399,394.19 Common Stock. Lewis Carlson received 62,078.97 Common Stock. Owen Augustus Carlson 1997 A Trust received 62,078.97 Common Stock. Julian Orlando Carlson 1997 A Trust received 62,078.97 Common Stock. Carlson Capital GP, L.P. received 12,353.51 Common Stock. The Carlson Foundation received 2,693.40 Common Stock. F2 · ownership.nature: Carlson Capital, L.P., a Delaware limited partnership, serves as the investment manager to, and has the power to direct the affairs of, Black Diamond Offshore Ltd., a Cayman Islands exempt company, and Double Black Diamond Offshore Ltd, a Cayman Islands exempt company (together, the "Funds"). Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, the Funds. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and the Funds. Read SEC document |
| September 25, 2024 Filed Sep 26, 2024 21:34 UTC | Magnera Corp GLT · Entity 5570 | SaleCommon Stock, par value $0.01 per share (the "Common Stock") | 320,691 | $1.74 | $558,002.34 |
DisclosureSEC source: 0000950170-24-109684 · ownership.xml · nonDerivative · entry 1 Carlson Capital, L.P. · CIK 0001056973 · 10% owner Double Black Diamond Offshore Ltd · CIK 0001404976 · 10% owner Black Diamond Offshore Ltd. · CIK 0001452364 · 10% owner Asgard Investment Corp. II · CIK 0001503915 · 10% owner Carlson Clint Duane · CIK 0001404625 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 4,335,000 F1 · price: Transaction reflects direct disposition by Double Black Diamond Offshore Ltd., a Cayman Islands exempt company (the "Double Offshore") of 320,691 shares. F2 · ownership.nature: The shares of Common Stock to which this relates are held directly by Double Offshore and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Offshore", together with Double Offshore, the "Funds"). F3 · ownership.nature: Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Funds. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. Each of the reporting persons 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 as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| September 19, 2024 Filed Sep 23, 2024 20:05 UTC | Magnera Corp GLT · Entity 5570 | SaleCommon Stock, par value $0.01 per share (the "Common Stock") | 50,000 | $1.82 | $91,000.00 |
DisclosureSEC source: 0000950170-24-108751 · ownership.xml · nonDerivative · entry 1 Carlson Capital, L.P. · CIK 0001056973 · 10% owner Double Black Diamond Offshore Ltd · CIK 0001404976 · 10% owner Black Diamond Offshore Ltd. · CIK 0001452364 · 10% owner Asgard Investment Corp. II · CIK 0001503915 · 10% owner Carlson Clint Duane · CIK 0001404625 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 4,655,691 F1 · price: Transaction reflects direct disposition by Double Black Diamond Offshore Ltd., a Cayman Islands exempt company (the "Double Offshore") of 50,000 shares. The transactions referenced herein provide for various per share prices ranging from $1.73 to $1.85. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price. F2 · ownership.nature: The shares of Common Stock to which this relates are held directly by Double Offshore and Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Offshore", together with Double Offshore, the "Funds"). F3 · ownership.nature: Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of, the Funds. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. Each of the reporting persons 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 as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| October 26, 2023 Filed Oct 26, 2023 23:06 UTC | Magnera Corp GLT · Entity 5570 | PurchaseCommon Stock | 50,000 | $1.60 | $80,000.00 |
DisclosureSEC source: 0000950170-23-055740 · ownership.xml · nonDerivative · entry 3 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner Double Black Diamond Offshore Ltd · CIK 0001404976 · 10% owner Black Diamond Arbitrage Offshore Ltd. · CIK 0001613525 · 10% owner EDCA 2019 Fund, L.P. · CIK 0001951606 · 10% owner Black Diamond Offshore Ltd. · CIK 0001452364 · 10% owner Asgard Investment Corp. II · CIK 0001503915 · 10% owner Carlson Clint Duane · CIK 0001404625 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 7,176,000 F2 · ownership.nature: The shares of Common Stock to which this relates are held directly by Offshore, Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Double Offshore"), Black Diamond Arbitrage Offshore Ltd., a Cayman Islands exempted company ("Arbitrage"), and EDCA 2019 Fund, L.P., a Delaware limited partnership ("EDCA" and, together with Offshore, Double Offshore and Arbitrage, the "Funds"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of the Funds. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. F3 · ownership.nature: (continued from footnote 2) Each of the reporting persons 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 as to such extent of the reporting person's pecuniary interest in the securities. F5 · ownership.nature: Transaction reflects direct acquisition by Double Offshore of 15,804 shares, by Arbitrage of 23,634 shares, and by EDCA of 10,562 shares. Read SEC document |
| October 25, 2023 Filed Oct 26, 2023 23:06 UTC | Magnera Corp GLT · Entity 5570 | PurchaseCommon Stock | 25,000 | $1.55 | $38,697.50 |
DisclosureSEC source: 0000950170-23-055740 · ownership.xml · nonDerivative · entry 2 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner Double Black Diamond Offshore Ltd · CIK 0001404976 · 10% owner Black Diamond Arbitrage Offshore Ltd. · CIK 0001613525 · 10% owner EDCA 2019 Fund, L.P. · CIK 0001951606 · 10% owner Black Diamond Offshore Ltd. · CIK 0001452364 · 10% owner Asgard Investment Corp. II · CIK 0001503915 · 10% owner Carlson Clint Duane · CIK 0001404625 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 7,126,000 F4 · price: Transaction reflects direct acquisition by Offshore of 25,000 shares. The transactions referenced herein provide for various per share prices ranging from $1.52968 to $1.56. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price. F2 · ownership.nature: The shares of Common Stock to which this relates are held directly by Offshore, Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Double Offshore"), Black Diamond Arbitrage Offshore Ltd., a Cayman Islands exempted company ("Arbitrage"), and EDCA 2019 Fund, L.P., a Delaware limited partnership ("EDCA" and, together with Offshore, Double Offshore and Arbitrage, the "Funds"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of the Funds. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. F3 · ownership.nature: (continued from footnote 2) Each of the reporting persons 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 as to such extent of the reporting person's pecuniary interest in the securities. F4 · ownership.nature: Transaction reflects direct acquisition by Offshore of 25,000 shares. The transactions referenced herein provide for various per share prices ranging from $1.52968 to $1.56. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price. Read SEC document |
| October 24, 2023 Filed Oct 26, 2023 23:06 UTC | Magnera Corp GLT · Entity 5570 | PurchaseCommon Stock, par value $0.01 per share (the "Common Stock") | 75,000 | $1.54 | $115,320.00 |
DisclosureSEC source: 0000950170-23-055740 · ownership.xml · nonDerivative · entry 1 CARLSON CAPITAL L P · CIK 0001056973 · 10% owner Double Black Diamond Offshore Ltd · CIK 0001404976 · 10% owner Black Diamond Arbitrage Offshore Ltd. · CIK 0001613525 · 10% owner EDCA 2019 Fund, L.P. · CIK 0001951606 · 10% owner Black Diamond Offshore Ltd. · CIK 0001452364 · 10% owner Asgard Investment Corp. II · CIK 0001503915 · 10% owner Carlson Clint Duane · CIK 0001404625 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 7,101,000 F1 · price: Transaction reflects direct acquisition by Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Offshore") of 75,000 shares. The transactions referenced herein provide for various per share prices ranging from $1.53189 to $1.54. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price. F1 · ownership.nature: Transaction reflects direct acquisition by Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Offshore") of 75,000 shares. The transactions referenced herein provide for various per share prices ranging from $1.53189 to $1.54. The Reporting Persons undertake to provide to the Staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares purchased or sold at each separate price. F2 · ownership.nature: The shares of Common Stock to which this relates are held directly by Offshore, Double Black Diamond Offshore Ltd., a Cayman Islands exempted company ("Double Offshore"), Black Diamond Arbitrage Offshore Ltd., a Cayman Islands exempted company ("Arbitrage"), and EDCA 2019 Fund, L.P., a Delaware limited partnership ("EDCA" and, together with Offshore, Double Offshore and Arbitrage, the "Funds"). Carlson Capital, L.P., a Delaware limited partnership ("Carlson Capital") serves as the investment manager to, and has the power to direct the affairs of the Funds. Asgard Investment Corp. II, a Delaware corporation ("Asgard II") serves as the general partner of, and has the power to direct the affairs of, Carlson Capital. Mr. Clint D. Carlson, a U.S. citizen, serves as the president of, and has the power to direct the affairs of, Asgard II and Carlson Capital. F3 · ownership.nature: (continued from footnote 2) Each of the reporting persons 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 as to such extent of the reporting person's pecuniary interest in the securities. Read SEC document |
| 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.