SWK Holdings Corp. 

TX

  SEC # 1089907

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1,124  SEC Filings   from  7/9/99  to  4/3/24  (3 Weeks Ago)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘4’ — Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — for 4/1/24 — Filed re:  Issuer / Subject Company — Filed by:  Dotter Laurie L.
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Forms , Documents & Exhibits  in  615 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
3/22/24			8-K		Update:		Current Reports — Form 8-K — Press Releases & Conference Calls  — Financial Reports	294
					8-K Items:
3/19/24			Business & Operations:			•	Entry into a Material Definitive Agreement — Item 1.01 — ↓‘EX-10’	58
6/30/23			"			•	Termination of a Material Definitive Agreement — Item 1.02 — ↓‘EX-10’	3
8/27/19	OLD		Financial Info:			•	Completion of Acquisition or Disposition of Assets — Item 2.01  OLD  — ↓‘EX-2’	2
3/21/24			"			•	Results of Operations and Financial Condition — Item 2.02 — Financial Reports	68
10/13/23			"			•	Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant — Item 2.03 — ↓‘EX-10’	8
7/12/07	OLD		"			•	Cost Associated with Exit or Disposal Activities — Item 2.05  OLD  — ↓‘EX-2’	2
7/12/07	OLD		"			•	Material Impairments — Item 2.06  OLD  — ↓‘EX-2’	2
2/10/22	OLD		Securities & Trading:			•	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing — Item 3.01  OLD	8
12/8/14	OLD		"			•	Unregistered Sales of Equity Securities — Item 3.02  OLD  — ↓‘EX-1’	7
4/1/22	OLD		"			•	Material Modifications to Rights of Security Holders — Item 3.03  OLD  — ↓‘EX-4’	8
6/15/06	OLD		Accountants & Accounting:			•	Changes in Registrant’s Certifying Accountant — Item 4.01  OLD  — ↓‘EX-16’	4
5/29/07	OLD		"			•	Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review — Item 4.02  OLD	2
8/19/14	OLD		Governance & Management:			•	Changes in Control of Registrant — Item 5.01  OLD	1
2/5/24			"			•	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers — Item 5.02 — List of Directors & Officers	52
8/15/22	OLD		"			•	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year — Item 5.03  OLD  — ↓‘EX-3’	6
6/14/23			"			•	Submission of Matters to a Vote of Security Holders — Item 5.07	14
3/22/24			Disclosures:			•	Regulation FD Disclosure — Item 7.01 — ↓‘EX-99’	46
5/16/23			Events:			•	Other Events — Item 8.01	41
3/22/24			Financials:			•	Financial Statements and Exhibits — Item 9.01 — Financial Reports	181
3/20/24			10-K		Update:		Annual Reports — Form 10-K — Financial Reports	36
11/8/23			10-Q		Update:		Quarterly Reports — Form 10-Q — Financial Reports	74
10/3/23			8-A12B		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A	5
10/3/23			CERT		Trading:		Certifications by Securities Exchanges Approving Listings — Form CERT	2
9/29/23			424B4		Registration:		Prospectuses – Info Previously Omitted & New Facts or Events	9
9/29/23			EFFECT		SEC:		SEC Notices of Effectiveness	7
9/28/23			FWP		Registration:		Prospectuses – Free Writing	2
9/28/23			S-1		Registration:		Registration Statements (General Form) — Form S-1 — Financial Reports	20
9/26/23			CORRESP		Comment:		Comment-Response and Other Letters to the SEC  [ a.k.a. COVER ] — All Correspondence with the SEC	20
5/1/23			ARS		Update:		Annual Reports to Security Holders	6
5/1/23			DEF 14A		Proxy:		Definitive Proxy Statements — Schedule 14A	21
8/16/22	OLD		8-A12G		Registration:		Registration Statements for Certain Classes of Securities — Form 8-A  OLD	6
7/8/22	OLD		PRE 14A		Proxy:		Preliminary Proxy Statements — Schedule 14A  OLD	4
5/19/22	OLD		S-3		Registration:		Registration Statements – Securities for Transactions — Form S-3  OLD	10
8/17/20	OLD		S-8		Registration:		Registration Statements – Securities for Certain Employee Benefit Plans — Form S-8  OLD	15
5/15/20	OLD		DEFA14A		Proxy:		Definitive Additional Proxy Soliciting Materials — Schedule 14A  OLD	13
4/23/18	OLD		DEFR14A		Proxy:		Definitive Revised Proxy Soliciting Material — Schedule 14A  OLD	1
11/14/16	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	3
3/16/15	OLD		CT ORDER		SEC:		SEC Confidential Treatment Orders  OLD	2
11/3/14	OLD		424B3		Registration:		Prospectuses – New Facts or Events  OLD	8
8/27/14	OLD		SC 14F1		Ownership:		Statement re: a Change in the Majority of Directors — Schedule 14F-1  OLD	1
8/15/14	OLD		NT 10-Q		Update:		Notices of Late Filings of Form 10-Q Quarterly Reports — Form 12b-25  OLD	4
11/27/09	OLD		DEFM14A		Proxy:		Definitive Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
11/20/09	OLD		PRER14A		Proxy:		Preliminary Revised Proxy Soliciting Material — Schedule 14A  OLD	1
11/6/09	OLD		PREM14A		Proxy:		Preliminary Proxy Statement – Merger or Acquisition — Schedule 14A  OLD	1
3/31/09	OLD		NT 10-K		Update:		Notices of Late Filings of Form 10-K Annual Reports — Form 12b-25  OLD	3
11/16/07	OLD		424B5		Registration:		Prospectuses – Primary Offerings and Shelf Securities – New Facts or Events  OLD	2
11/9/07	OLD		REGDEX		Registration:		Notices of Exempt Offerings of Securities — Form D  OLD	4
11/5/03	OLD		S-3MEF		Registration:		Registration Statement to Add Securities to a Prior Form S-3 Registration  OLD	1
12/28/01	OLD		DEFS14A		Proxy:		Definitive Proxy Statements – Special Meetings — Schedule 14A  OLD	2
12/14/01	OLD		PRES14A		Proxy:		Preliminary Proxy Statements – Special Meetings — Schedule 14A  OLD	2
12/7/01	OLD		424B2		Registration:		Prospectuses – Primary Offerings and Shelf Securities  OLD	2
5/29/01	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	16
5/18/01	OLD		S-4		Registration:		Registration Statements – Securities for Mergers — Form S-4  OLD	4
4/19/01	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	3
4/12/01	OLD		SC TO-I		Ownership:		Tender-Offer Statements by Issuers — Schedule TO  OLD	5
3/14/01	OLD		POS AM		Registration:		Post-Effective Amendments of Registration Statements  OLD	4
9/24/99	OLD		S-8 POS		Registration:		Post-Effective Amendment of a Form S-8 Registration  OLD	1
9/7/99	OLD		424A		Registration:		Prospectus – Info Substantively Changed or Added  OLD	1
					Letters:
3/2/20	OLD		REDACTED EXHIBIT		SEC Staff Letters – Redacted Exhibits  OLD  — All Correspondence with the SEC			2
					General Exhibits:
3/20/24			EX-97		Clawback Policy re: Recovery of Erroneously Awarded Compensation			1
3/20/24			EX-23		Consents of Experts and Counsel			140
3/20/24			EX-10		Material Contracts			153
3/20/24			EX-21		Subsidiaries Lists			22
10/3/23			EX-4		Instruments, Including Indentures, Defining the Rights of Security Holders			47
10/3/23			EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)			9
9/28/23			EX-5		Opinions of Counsel re: Legality			39
9/28/23			EX-25		Statements of Eligibility to Act as a Trustee — Forms T-1 & T-2			3
9/26/23			EX-FILING FEES		Filing Fees			3
8/15/22	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			20
8/27/19	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			12
12/11/15	OLD		EX-24		Power of Attorney  OLD			1
5/20/14	OLD		EX-8		Opinions of Counsel re: Tax Matters  OLD			5
12/14/99	OLD		EX-20		Other Documents and Statements Furnished to Security Holders  OLD			2
					Additional Exhibits:
3/22/24			EX-99		Miscellaneous Exhibits, such as Press Releases — Press Releases & Conference Calls			262
					Financials:
3/22/24			XML  &  R#		IDEA Financial Reports Info — Financial Reports			2,915
3/22/24			EXCEL		IDEA Workbooks of Financial Reports Info — Workbooks of Financial Reports			128
3/22/24			EX-101.*		XBRL Data  (XBRL Files)			549
3/22/24			JSON		XBRL Instances as JavaScript Object Notation Data  (JSON Files)			75
3/22/24			ZIP		XBRL Zipped Folders   (Folders of XBRL Files)			118
3/20/24			EX-31		Certifications — §302 – SOA’02			185
3/20/24			EX-32		Certifications — §906 – SOA’02			179
6/15/06	OLD		EX-16		Letters re: Changes in Accountants  OLD			6
11/14/00	OLD		EX-27		Financial Data Schedules {Pre-XBRL}  OLD  — Financial Reports			12
					Graphics:
3/22/24			GRAPHIC		Photos, Images and Graphs			1,144

Forms , Documents & Exhibits  in  520 Filings  Filed re:  Issuer / Subject Company

        

List all Money Managers that own this Security Issuer:  CUSIP 78501P

        

Latest Filing			Type		Category	Description		Documents
4/3/24			4		Ownership:		Statements of Changes in Beneficial Ownership of Securities by Insiders — Form 4	361
2/14/24			SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G	37
9/28/23			FWP		Registration:		Prospectuses – Free Writing	2
3/21/23	OLD		3		Ownership:		Initial Statements of Beneficial Ownership of Securities by Insiders — Form 3  OLD	46
1/10/22	OLD		SC 13D		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Active” Investors — Schedule 13D  OLD	44
8/27/14	OLD		SC 14F1		Ownership:		Statement re: a Change in the Majority of Directors — Schedule 14F-1  OLD	1
8/19/14	OLD		DFAN14A		Proxy:		Definitive Additional Non-Management Proxy Soliciting Materials — Schedule 14A  OLD	4
2/15/06	OLD		5		Ownership:		Annual Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 5  OLD	1
4/12/01	OLD		SC TO-I		Ownership:		Tender-Offer Statements by Issuers — Schedule TO  OLD	5
2/8/00	OLD		425		Registration:		Prospectuses and Communications – Mergers  OLD	2
					Letters:
9/21/23			LETTER		Comment and Other Letters from the SEC  [ a.k.a. UPLOAD ] — All Correspondence with the SEC			17
9/21/23			TEXT-EXTRACT		Comment and Other Letters from the SEC – PDFs’ Text  [ a.k.a. LETTER ]			3
					General Exhibits:
3/21/23	OLD		EX-24		Powers of Attorney  OLD			54
7/15/14	OLD		EX-14		Code of Ethics  OLD			1
6/20/14	OLD		EX-13		Annual or Quarterly Report to Security Holders  OLD			1
9/2/08	OLD		EX-2		Plans of Acquisitions, Reorganizations, Arrangements, Liquidations and Successions  OLD			4
9/2/08	OLD		EX-1		Underwriting Agreements  (and mislabeled “1st Exhibits”)  OLD			4
10/11/05	OLD		EX-9		Voting Trust Agreement  OLD			1
4/19/01	OLD		EX-3		Articles of Incorporation/Organization and Bylaws  OLD			2
					Additional Exhibits:
7/11/22	OLD		EX-99		Miscellaneous Exhibits, such as Press Releases  OLD			47
					Financials:
5/16/14	OLD		EX-12		Statement re: the Computation of Ratios  OLD			1
					Graphics:
11/23/21	OLD		GRAPHIC		Photos, Images and Graphs  OLD			6

        

Filings History

Year		# of Filings
2024		16
2023		52
2022		79
2021		62
2020		54
2019		49
2018		34
2017		30
2016		38
2015		43
2014		65
2013		20
2012		30
2011		7
2010		22
2009		70
2008		35
2007		69
2006		64
2005		79
2004		39
2003		34
2002		23
2001		53
2000		42
1999		15