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SWK Holdings Corp — Director's Dealing 2013
Mar 19, 2013
33762_dirs_2013-03-18_7cfa5337-b5d0-4f7f-87c8-986f21043123.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SWK Holdings Corp (SWKH)
CIK: 0001089907
Period of Report: 2013-03-14
Reporting Person: Margolis Michael A (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-03-14 | Common Stock | A | 35000 | — | Acquired | 170000 | Direct |
| 2013-03-14 | Common Stock | A | 0 | — | Acquired | 803600 | Indirect |
Footnotes
F1: Comprised of restricted stock granted pursuant to the Company's 2010 Equity Incentive Plan and form of Restricted Stock Agreement. The restricted stock vests on January 41, 2014.
F2: Includes 100,000 shares of unvested restricted common stock granted for Mr. Margolis' services as a director.
F3: Includes 803,600 shares of common stock owned by Maric Capital Fund, Ltd. Maric LS, LLC is the investment manager of Maric Capital Master Fund Ltd. Mr. Margolis is the member of Maric LS, LLC. Mr. Margolis disclaims beneficial ownership of any and all such shares in excess of his pecuniary interest therein.