Company: SWKH
Filing Date: 2025-04-29
Form Type: DEF 14A
Source: 0001628280-25-020718
Chunk: 34

Company: SWK Holdings Corp
Filing Date: 2025-04-29
Form: DEF 14A
Chunk 34
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6.3 | %  |
|                                                                     |     |                 |     | 10,224,823 |     |               | 83.3 | %  |

* Less than one percent

(1) Based solely on the Schedule 13D/A filed on October 25, 2024 with the SEC reporting beneficial ownership of 8,907,528 shares. The shares are directly beneficially owned by Double Black Diamond Offshore Ltd. and Black Diamond Offshore Ltd. (together, the “Funds”). Carlson Capital, L.P. is the investment manager of the Funds. Asgard Investment Corp. (“Asgard”) is the general partner of Carlson Capital. Clint D. Carlson is the President of Asgard and the Chief Executive Officer of Carlson Capital. Carlson Capital disclaims beneficial ownership of any and all such shares in excess of their pecuniary interest therein.

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(2) Based solely on the Schedule 13G filed on November 14, 2024 with the SEC reporting beneficial ownership of 381,838 shares. The shares are directly beneficially owned by J. Carlo Cannell and Cannell Capital LLC

(3) Based solely on the Schedule 13G/A filed on February 14, 2024 with the SEC reporting beneficial ownership of 770,770 shares. All of the reported shares are owned directly by M3 Partners, L.P. (“M3 Partners”), whose general partner is M3 Funds, LLC (the “General Partner”) and whose investment adviser is M3F, Inc. (the “Investment Adviser”). The General Partner and the Investment Adviser could each be deemed to be indirect beneficial owners of the reported shares, and could be deemed to share such beneficial ownership with M3 Partners. Jason A. Stock and William C. Waller are the managers of the General Partner and the managing directors of the Investment Adviser, and could be deemed to share such indirect beneficial ownership with the General Partner, the Investment Adviser and M3 Partners.

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### TRANSACTIONS WITH RELATED PERSONS

#### Certain Transactions with Related Persons
Advisory Services with CFGI LLC

On August 28, 2012, the Company appointed Charles Jacobson as the Company’s Chief Financial Officer, effective September 4, 2012. Mr. Jacobson carries out his role as Chief Financial Officer of the Company pursuant to an agreement between the Company and CFGI. Since April