SWK Holdings Corp.

11/01/2024 | Press release | Distributed by Public on 11/01/2024 14:06

Initial Statement of Beneficial Ownership - Form 3

Ownership Submission
FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
Carlson Capital GP, L.P.
2. Date of Event Requiring Statement (Month/Day/Year)
2024-10-23 		3. Issuer Name and Ticker or Trading Symbol
SWK Holdings Corp [SWKH]
(Last) (First) (Middle)
2100 MCKINNEY AVE , STE 1900
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
5. If Amendment, Date Original Filed(Month/Day/Year)
(Street)
DALLAS TX 75201
6. Individual or Join/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security 2. Amount of Securities Beneficially Owned 3. Ownership Form: Direct (D) or Indirect (I) 4. Nature of Indirect Beneficial Ownership
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security 2. Date Exercisable and Expiration Date 3. Title and Amount of Securities Underlying Derivative Security 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) 6. Nature of Indirect Beneficial Ownership
Date Exercisable Expriation Date Title Amount or Number of Shares

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Carlson Capital GP, L.P.
2100 MCKINNEY AVE
STE 1900
DALLAS, TX75201



Asgard Investment Corp.
2100 MCKINNEY AVENUE
STE 1900
DALLAS, TX75201



Carlson Clint Duane
2100 MCKINNEY AVENUE
STE 1900
DALLAS, TX75201



Signatures

Carlson Capital GP, L.P., By: /s/ Clint D. Carlson, Title: President 2024-10-25
**Signature of Reporting Person Date
Asgard Investment Corp., By: /s/ Clint D. Carlson, Title: President 2024-10-25
**Signature of Reporting Person Date
By: /s/ Clint D. Carlson 2024-10-25
**Signature of Reporting Person Date

Explanation of Responses:

(*) If the form is filed by more than one reporting person, see Instruction 5(b)(v).
(**) Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) 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").
(2) 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.
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.