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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/09/17 SWK Holdings Corp 10-Q 9/30/17 56:2.7M 2ENGAGE/FA |
Document/Exhibit Description Pages Size 1: 10-Q Quarterly Report HTML 314K 2: EX-31.01 Certification -- §302 - SOA'02 HTML 21K 3: EX-31.02 Certification -- §302 - SOA'02 HTML 21K 4: EX-32.01 Certification -- §906 - SOA'02 HTML 17K 5: EX-32.02 Certification -- §906 - SOA'02 HTML 17K 12: R1 Document And Entity Information HTML 43K 13: R2 Unaudited Condensed Consolidated Balance Sheets HTML 85K 14: R3 Unaudited Condensed Consolidated Balance Sheets HTML 39K (Parenthetical) 15: R4 Unaudited Condensed Consolidated Statements of HTML 84K Income 16: R5 Unaudited Condensed Consolidated Statements of HTML 37K Comprehensive Income 17: R6 Unaudited Condensed Consolidated Statements of HTML 100K Cash Flows 18: R7 SWK Holdings Corporation and Summary of HTML 52K Significant Accounting Policies 19: R8 Net Income per Share HTML 30K 20: R9 Finance Receivables, Net HTML 49K 21: R10 Marketable Investments HTML 37K 22: R11 Variable Interest Entities HTML 30K 23: R12 Related Party Transactions HTML 25K 24: R13 Stockholders' Equity HTML 23K 25: R14 Fair Value Measurements HTML 68K 26: R15 Subsequent Events HTML 20K 27: R16 SWK Holdings Corporation and Summary of HTML 59K Significant Accounting Policies (Policies) 28: R17 Net Income per Share (Tables) HTML 28K 29: R18 Finance Receivables (Tables) HTML 31K 30: R19 Marketable Investments (Tables) HTML 33K 31: R20 Variable Interest Entities (Tables) HTML 20K 32: R21 Related Party Transactions (Tables) HTML 26K 33: R22 Stockholders Equity (Tables) HTML 20K 34: R23 Fair Value Measurements (Tables) HTML 69K 35: R24 Net Income per Share (Details) HTML 40K 36: R25 Finance Receivables, Net (Details) HTML 28K 37: R26 Finance Receivables, Net (Details 2) HTML 27K 38: R27 Finance Receivables, Net (Details Narrative) HTML 35K 39: R28 Marketable Investments (Details) HTML 25K 40: R29 Marketable Investments (Details 2) HTML 33K 41: R30 Marketable Investments (Details Narrative) HTML 50K 42: R31 Variable Interest Entities (Details) HTML 28K 43: R32 Variable Interest Entities (Details Narrative) HTML 42K 44: R33 Related Party Transactions (Details) HTML 25K 45: R34 Related Party Transactions (Details 2) HTML 25K 46: R35 Related Party Transactions (Details Narartive) HTML 22K 47: R36 Stockholders' Equity (Details) HTML 26K 48: R37 Stockholders' Equity (Details Narrative) HTML 27K 49: R38 Fair Value Measurements (Details) HTML 39K 50: R39 Fair Value Measurements (Details 2) HTML 24K 51: R40 Fair Value Measurements (Details 3) HTML 25K 52: R41 Fair Value Measurements (Details 4) HTML 25K 53: R42 Fair Value Measurements (Details 5) HTML 56K 55: XML IDEA XML File -- Filing Summary XML 96K 54: EXCEL IDEA Workbook of Financial Reports XLSX 58K 6: EX-101.INS XBRL Instance -- swkh-20170930 XML 673K 8: EX-101.CAL XBRL Calculations -- swkh-20170930_cal XML 108K 9: EX-101.DEF XBRL Definitions -- swkh-20170930_def XML 281K 10: EX-101.LAB XBRL Labels -- swkh-20170930_lab XML 556K 11: EX-101.PRE XBRL Presentations -- swkh-20170930_pre XML 461K 7: EX-101.SCH XBRL Schema -- swkh-20170930 XSD 105K 56: ZIP XBRL Zipped Folder -- 0001552781-17-000622-xbrl Zip 80K
EXHIBIT 31.01
CERTIFICATION
I, Winston L. Black, Chief Executive Officer of the registrant, certify that:
1. I have reviewed this Quarterly Report on Form 10-Q of SWK Holdings Corporation;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this report;
4. The registrant’s other certifying officer and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13a-15(f) and 15d-15(f)) for the registrant and have:
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an Annual Report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting.
5. The registrant’s other certifying officer and I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.
Date: November 9, 2017 | /s/ Winston L. Black |
Winston L. Black | |
Chief Executive Officer |
C:
This ‘10-Q’ Filing | Date | Other Filings | ||
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Filed on: | 11/9/17 | None on these Dates | ||
For Period end: | 9/30/17 | |||
List all Filings |