SC 13G/A: SWK Holdings Corp

AI Summary

SC 13G/A filing by SWK Holdings Corp.

Risk Assessment

Risk Level: low

FAQ

Key Financial Figures

• $0.001 — me of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securiti

Filing Documents

• ccllc_swkh_13g111124.htm (SC 13G/A) — 39KB
• 0001058854-24-000013.txt ( ) — 41KB

From the Filing

SC 13G/A 1 ccllc_swkh_13g111124.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No.3) 1 SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 78501P203 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☑ Rule 13d-1(b) ☐ Rule 13d-1(c) ☐ Rule 13d-1(d) 1 The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“ Act ”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes ). CUSIP No.78501P203 Page 2 of 7 Pages 1 NAMES OF REPORTING PERSONS J. Carlo Cannell 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 381,838 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 381,838 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 381,838 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 3.09% 12 TYPE OF REPORTING PERSON IN CUSIP No.78501P203 Page 3 of 7 Pages 1 NAMES OF REPORTING PERSONS I.R.S. Identification Nos. of Above Persons (Entities Only) Cannell Capital LLC 94-3366999 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ☐ (b) ☐ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Wyoming, USA NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER 0 6 SHARED VOTING POWER 381,838 7 SOLE DISPOSITIVE POWER 0 8 SHARED DISPOSITIVE POWER 381,838 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 381,838 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (see instructions) 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11 3.09% 12 TYPE OF REPORTING PERSON IA CUSIP No.78501P203 Page 4 of 7 Pages Item 1. a) Name of Issuer SWK Holdings Corporation b) Address of issuer's principal executive offices: 5956 Sherry Lane, Suite 650 Dallas, TX 75225 Item 2. a) Name of person filing: Cannell Capital LLC b) Address or principal business office or, if none, residence: 245 Meriwether Circle Alta, WY 83414 c) Citizenship: Wyoming, USA d) Title of class of securities: Common Stock e) CUSIP No.: 78501P203 Item 3. If this statement is filed pursuant to §240.13d-1(b) or §240.13d-2(b) or (c), check whether the person filing is a: (a) ☐ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) ☐ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) ☐ Insurance company as defined in section 3(a)(19) of the Act(15 U.S.C. 78c). (d) ☐ An Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) ☑ An investment adviser in accordance with Section §240.13d-1(b)(1)(ii)(E). (f) ☐ An Employee benefit plan or endowment fund in accordance with Section §240.13d-1(b)(1)(ii)(F). (g) ☐ A Parent holding company or control person in accordance with Section §240.13d-1(b)(1)(ii)(G). (h) ☐ A Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) ☐ A Church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act (15 U.S.C. 80a-3). (j) ☐ A non-U.S. institution in accordance with Section §240.13d-1(b)(1)(ii)(J). (k) ☐ Group, in accordance with Section §240.13d-1(b)(1)(ii)(J). CUSIP No.78501P203 Page 5 of 7 Pages Item 4. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 381,838. (b) Percent of class: 3.09%. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 0. (ii) Shared power to

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