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SWK Holdings Corp — Director's Dealing 2014
Feb 11, 2014
33762_dirs_2014-02-10_7e491384-4c43-4b7e-bb7b-9d3e420e9f45.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: 2014-02-06
Reporting Person: Margolis Michael A (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-02-06 | Common Stock | A | 35000 | — | Acquired | 205000 | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 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 31, 2015.
F2: Includes 100,000 shares of unvested restricted stock owned by Mr. Margolis, which were granted for his 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 a member of Maric LS, LLC. Mr. Margolis disclaims beneficial ownership of any and all shares in excess of his pecuniary interest therein.