Welcome to our dedicated page for Swk Hldgs SEC filings (Ticker: SWKH), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
SWK Holdings Corporation filings document the public-company record of a life sciences specialty finance issuer and its completed merger with Runway Growth Finance Corp. The filing history includes Form 8-K material-event reports, operating-results disclosures, material agreements, shareholder and governance matters, and capital-structure information for common stock and 9.00% Senior Notes due 2027.
Later filings record the issuer's corporate-status transition, including Nasdaq Form 25 removal from listing and Form 15 termination of registration or suspension of Exchange Act reporting obligations. Other disclosures cover amendments to credit arrangements involving SWK Funding LLC and First Horizon Bank, as well as transaction-related exhibits and merger-completion information.
SWK Holdings Corporation amendment filed a Schedule 13G/A reporting that the listed reporting persons (M3 Funds, LLC; M3 Partners, LP; M3F, Inc.; Jason A. Stock; William C. Waller) each report beneficial ownership of 0.00 shares and 0% of the class.
The filing states the reporting persons' principal business address as 2070 E 2100 S, Suite 250, Salt Lake City, UT 84109, and includes signatures dated 04/23/2026.
Carlson Capital affiliates and related entities report that they no longer beneficially own any shares of SWK Holdings Corporation following its merger with Runway Growth Finance Corp. On April 6, 2026, SWK merged into an acquisition subsidiary of Runway under an Agreement and Plan of Merger.
At the merger’s effective time, each share of SWK common stock was converted into either 1.7264 shares of Runway common stock or $20.59 in cash, based on each holder’s election and subject to proration, plus an additional $0.74 per share cash payment funded by the adviser. After this transaction, the reporting persons’ beneficial ownership fell to 0 shares, or 0% of SWK’s outstanding stock.
SWK Holdings Corp reported that, on completion of its merger with a Runway Growth Finance Corp subsidiary, all outstanding SWK common shares were cancelled and converted into the right to receive merger consideration. Each SWK share became exchangeable for either 1.7264 shares of Runway Growth Finance common stock or $20.59 in cash, in each case plus an additional cash payment of $0.74 per share funded by Runway Growth Capital LLC.
The Form 4 shows that SWK shares held through various Carlson-related funds, entities, trusts and individuals were adjusted in this restructuring, with the entries reflecting non-market "other" transactions and zero SWK shares reported as held afterward. The reporting persons disclaim beneficial ownership beyond their pecuniary interests.
SWK Holdings Corporation files Post-Effective Amendments to two Form S-3 registration statements to remove from registration any securities that remained unsold and to terminate the effectiveness of those registration statements. The amendments follow the Merger in which RWAY Growth Finance Corp. acquired SWK and SWK was merged out of existence, with RWAY continuing as the surviving corporation. The filings state the deregistration is performed in accordance with undertakings to remove unsold securities and references the Agreement and Plan of Merger dated October 9, 2025. The Post-Effective Amendments were signed on April 7, 2026.
SWK Holdings Corporation files a Post-Effective Amendment to its Form S-3 registration statements to remove and deregister all unsold securities and to terminate the effectiveness of those registration statements. The filing states that on April 6, 2026 Runway Growth Finance Corp. (RWAY) acquired SWK pursuant to the Agreement and Plan of Merger, and SWK was merged out of existence with RWAY continuing as the surviving corporation. As a result, SWK terminated its pending offerings and, consistent with its prior undertakings, amends the registration statements to remove any securities that remained unsold as of the amendment date and to terminate the registration statements' effectiveness.
SWK Holdings Corp filed a Form 25 notifying Nasdaq Stock Market LLC of the removal of its Common Stock from listing and/or registration under Section 12(b) of the Exchange Act. The notification cites compliance with 17 CFR 240.12d2-2 and is signed on behalf of Nasdaq by Jennifer Fainer.
SWK Holdings Corporation completed a multi-step merger with Runway Growth Finance Corp. (RWAY), after which SWK became a wholly owned subsidiary of RWAY and its Nasdaq-listed common stock will be delisted and deregistered.
At the effective time, each SWK share converted into either 1.7264 shares of RWAY common stock or $20.59 in cash, based on stockholder elections and proration, plus an additional $0.74 per share guaranteed cash payment funded by Runway Growth Capital LLC. In total, RWAY issued approximately 6,330,640 shares of its stock and paid $173,539,245.32 in cash to former SWK stockholders.
SWK amended its indenture governing $30.0 million of 9.00% Senior Notes due 2027 to add restrictive covenants and an extra event of default tied to Investment Company Act requirements. SWK’s credit facility with First Horizon Bank was fully repaid and terminated, all related liens were released, and all SWK directors and officers were replaced by those of the merger subsidiary.