Amendment: SEC Form SCHEDULE 13D/A filed by SWK Holdings Corporation
$SWKH
Diversified Financial Services
Finance
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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 |
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 17)
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SWK HOLDINGS CORPORATION (Name of Issuer) |
Common Stock, par value $0.001 per share (Title of Class of Securities) |
78501P203 (CUSIP Number) |
Carlson Capital, L.P.
Attn: Rahim Ibrahim, 2100 McKinney Avenue
Dallas, TX, 75201
(214) 932-9600
Attn: Rahim Ibrahim, 2100 McKinney Avenue
Dallas, TX, 75201
(214) 932-9600
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)
04/06/2026
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
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).
SCHEDULE 13D
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| CUSIP Number(s): | 78501P203 |
| 1 |
Name of reporting person
Double Black Diamond Offshore Ltd. | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
| ||||||||
| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
WC | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
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| 6 | Citizenship or place of organization
CAYMAN ISLANDS
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 11 | Aggregate amount beneficially owned by each reporting person
0.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
| ||||||||
| 13 | Percent of class represented by amount in Row (11)
0 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
CO |
SCHEDULE 13D
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| CUSIP Number(s): | 78501P203 |
| 1 |
Name of reporting person
Carlson Capital, L.P. | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
| ||||||||
| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
AF | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
| ||||||||
| 6 | Citizenship or place of organization
DELAWARE
| ||||||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 11 | Aggregate amount beneficially owned by each reporting person
0.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
| ||||||||
| 13 | Percent of class represented by amount in Row (11)
0 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
PN, IA |
SCHEDULE 13D
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| CUSIP Number(s): | 78501P203 |
| 1 |
Name of reporting person
Asgard Investment Corp. II | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
| ||||||||
| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
AF | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
| ||||||||
| 6 | Citizenship or place of organization
DELAWARE
| ||||||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 11 | Aggregate amount beneficially owned by each reporting person
0.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
| ||||||||
| 13 | Percent of class represented by amount in Row (11)
0 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
CO |
SCHEDULE 13D
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| CUSIP Number(s): | 78501P203 |
| 1 |
Name of reporting person
Asgard Investment Corp. | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
| ||||||||
| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
AF | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
| ||||||||
| 6 | Citizenship or place of organization
DELAWARE
| ||||||||
| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 11 | Aggregate amount beneficially owned by each reporting person
0.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
| ||||||||
| 13 | Percent of class represented by amount in Row (11)
0 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
CO |
SCHEDULE 13D
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| CUSIP Number(s): | 78501P203 |
| 1 |
Name of reporting person
Clint D. Carlson | ||||||||
| 2 | Check the appropriate box if a member of a Group (See Instructions)
(a)
(b)
| ||||||||
| 3 | SEC use only | ||||||||
| 4 |
Source of funds (See Instructions)
AF | ||||||||
| 5 |
Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)
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| 6 | Citizenship or place of organization
UNITED STATES
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| Number of Shares Beneficially Owned by Each Reporting Person With: |
| ||||||||
| 11 | Aggregate amount beneficially owned by each reporting person
0.00 | ||||||||
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)
| ||||||||
| 13 | Percent of class represented by amount in Row (11)
0 % | ||||||||
| 14 | Type of Reporting Person (See Instructions)
IN |
SCHEDULE 13D
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| Item 1. | Security and Issuer | |
| (a) | Title of Class of Securities:
Common Stock, par value $0.001 per share | |
| (b) | Name of Issuer:
SWK HOLDINGS CORPORATION | |
| (c) | Address of Issuer's Principal Executive Offices:
5956 Sherry Lane, Suite 650, Dallas,
TEXAS
, 75225. | |
Item 1 Comment:
Explanatory Note
This Amendment No. 17 ("Amendment No. 17") amends and supplements the statement on Schedule 13D filed with the Securities and Exchange Commission (the "SEC") on November 4, 2009 (the "Original Schedule 13D"), as amended by Amendment No. 1 to the Original Schedule 13D filed with the SEC on November 25, 2009 ("Amendment No. 1"), and as further amended by Amendment No. 2 to the Original Schedule 13D filed with the SEC on March 1, 2012 ("Amendment No. 2"), and as further amended by Amendment No. 3 to the Original Schedule 13D filed with the SEC on September 9, 2013 ("Amendment No. 3"), and as further amended by Amendment No. 4 to the Original Schedule 13D filed with the SEC on May 16, 2014 ("Amendment No. 4"), and as further amended by Amendment No. 5 to the Original Scheduled 13D filed with the SEC on June 23, 2014 ("Amendment No. 5"), and as further amended by Amendment No. 6 to the Original Schedule 13D filed with the SEC on July 16, 2014 ("Amendment No. 6"), and as further amended by Amendment No. 7 to the Original Schedule 13D filed with the SEC on August 19, 2014 ("Amendment No. 7"), and as further amended by Amendment No. 8 to the Original Schedule 13D filed with the SEC on December 8, 2014 ("Amendment No. 8"), and as further amended by Amendment No. 9 to the Original Schedule 13D filed with the SEC on March 30, 2018 ("Amendment No. 9), and as further amended by Amendment No. 10 to the Original Schedule 13D filed with the SEC on April 6, 2021 ("Amendment No. 10"), and as further amended by Amendment No. 11 to the Original Schedule 13D filed with the SEC on May 18, 2021 ("Amendment No. 11"), and as further amended by Amendment No. 12 to the Original Schedule 13D filed with the SEC on November 12, 2021 ("Amendment No. 12"), and as further amended by Amendment No. 13 to the Original Schedule 13D filed with the SEC on November 23, 2021 ("Amendment No. 13") and as further amended by Amendment No. 14 to the Original Schedule 13D filed with the SEC on December 28, 2021 ("Amendment No. 14"), and as further amended by Amendment No. 15 to the Original Schedule 13D filed with the SEC on January 7, 2022 ("Amendment No. 15"), and as further amended by Amendment No. 16 to the Original Schedule 13D filed with the SEC on October 23, 2024 ("Amendment No. 16, and together with the Original Schedule 13D, Amendment No. 1, Amendment No. 2, Amendment No. 3, Amendment No. 4, Amendment No. 5, Amendment No. 6, Amendment No. 7, Amendment No. 8, Amendment No. 9, Amendment No. 10, Amendment No. 11, Amendment No. 12, Amendment No. 13, Amendment No. 14, Amendment No. 15, Amendment No. 16 and this Amendment No. 17, the "Schedule 13D"), with respect to the shares of common stock ("Shares"), par value $0.001 per share, of SWK Holdings Corporation (the "Issuer"). Capitalized terms used herein and not otherwise defined in this Amendment No. 17 have the meanings set forth in the Schedule 13D. This Amendment No. 17 amends Items 4, 5 and 6 as set forth below. | ||
| Item 4. | Purpose of Transaction | |
The information previously provided in response to Item 4 is hereby amended and supplemented by adding the following information:
On April 6, 2026, pursuant to the Agreement and Plan of Merger dated as of October 9, 2025 (the "Merger Agreement"), Runway Growth Finance Corp. ("Parent"), RWAY Portfolio Holding Corp., RWAY Portfolio Corp. ("Acquisition Sub"), Runway Growth Capital LLC ("Adviser") and SWK Holdings Corporation ("SWK") effected a merger pursuant to which SWK was merged with and into Acquisition Sub (the "First Merger"). Pursuant to the Merger Agreement, upon completion of the First Merger (the "Effective Time"), each issued and outstanding common stock of SWK ("SWK Common Stock") was cancelled and converted into the right to receive (i) either (A) 1.7264 shares of common stock, par value $0.01 per share, of Parent ("Parent Common Stock" and such consideration, the "Per Share Stock Consideration") or (B) $20.59 in cash (the "Per Share Cash Consideration") (in each case, based on the election of the holder thereof in accordance with the terms of the Merger Agreement and subject to proration as provided therein) plus (ii) $0.74 in cash, which represents a pro rata share of the guaranteed cash payment paid by the Adviser (the "Per Share Guaranteed Cash Payment" and collectively with the Per Share Stock Consideration and the Per Share Cash Consideration, the "Total Per Share Consideration"). As a result, the Reporting Persons no longer beneficially own any shares of the Issuer. | ||
| Item 5. | Interest in Securities of the Issuer | |
| (a) | Pursuant to the closing of the merger described in Item 4, the Reporting Persons beneficially owned an aggregate of 0 Shares, constituting approximately 0% of the Shares outstanding. The aggregate percentage of Shares reported in this Amendment No. 17 are based on an aggregate number of 12,095, 906 Shares outstanding as of March 2, 2026, as reported in the Issuer's 8-K filed with the SEC on March 3, 2026. | |
| (c) | No transactions were effected by the Reporting Persons in the Shares since the filing of Amendment No. 16. | |
| Item 6. | Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer | |
The information previously provided in response to Item 6 is hereby amended and supplemented by adding the following information: Item 4 of this Amendment No. 17 is hereby incorporated by reference. | ||
| SIGNATURE | |
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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