SWK Holdings Director Shows Confidence by Converting Pay to Company Stock

Q: Why did SWKH Director Hatcher receive these shares instead of cash compensation?

The shares were issued in connection with Hatcher's voluntary decision to receive shares in lieu of cash compensation for his services as a director of SWKH.

Filing Impact

(Moderate)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

SWK Holdings Corp director Robert K. Hatcher acquired 3,858 shares of common stock at $14.26 per share on June 16, 2025, increasing his direct holdings to 16,662 shares.

Key transaction details:

The shares were issued as part of director compensation, with Hatcher electing to receive stock instead of cash payment
The restricted shares have a vesting schedule, maturing on the earlier of June 16, 2026, or the next Annual Meeting of Stockholders
Vesting is contingent on Hatcher's continued service as director
The transaction was reported within the required filing window on June 18, 2025

This insider transaction demonstrates director alignment with shareholder interests through equity-based compensation, with Hatcher voluntarily choosing stock over cash payment for his board service.

Insider Trade Summary

Net Buyer: 3,858 shares

Net Buy 1 txn

Insider Hatcher Robert K.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Common Stock	3,858	$14.26	$55K

Holdings After Transaction: Common Stock — 16,662 shares (Direct)

Footnotes (1)

F1. Consists of shares of common stock issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation for his services as a director. The restricted shares vest on the earlier of (i) June 16, 2026, or (ii) the date of the next Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continued service through such vesting date.

FAQ

How many shares of SWKH stock did Director Robert K. Hatcher acquire on June 16, 2025?

Director Robert K. Hatcher acquired 3,858 shares of SWKH common stock on June 16, 2025, at a price of $14.26 per share.

What is the vesting schedule for SWKH Director Hatcher's newly acquired shares?

The restricted shares will vest on the earlier of (i) June 16, 2026, or (ii) the date of the next Annual Meeting of Stockholders, subject to Hatcher's continued service through the vesting date.

How many SWKH shares does Robert Hatcher own after this transaction?

Following the reported transaction, Robert K. Hatcher beneficially owns 16,662 shares of SWKH common stock directly.

Why did SWKH Director Hatcher receive these shares instead of cash compensation?

The shares were issued in connection with Hatcher's voluntary decision to receive shares in lieu of cash compensation for his services as a director of SWKH.

What is Robert K. Hatcher's role at SWKH according to the Form 4?

According to the Form 4 filing, Robert K. Hatcher serves as a Director of SWK Holdings Corporation (SWKH), but is not an officer or 10% owner of the company.

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Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 06/18/2025 - 08:16 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Hatcher Robert K.

(Last)

(First)

(Middle)

5956 SHERRY LANE, SUITE 650

(Street)

DALLAS

75225

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
SWK Holdings Corp [ SWKH ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
06/16/2025

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	06/16/2025		A		3,858⁽¹⁾	A	$14.26	16,662	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. Consists of shares of common stock issued in connection with the Reporting Person's voluntary decision to receive shares in lieu of cash compensation for his services as a director. The restricted shares vest on the earlier of (i) June 16, 2026, or (ii) the date of the next Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continued service through such vesting date.

	/s/ Robert K. Hatcher	06/18/2025
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

Source: View Original Filing on SEC EDGAR