SWK HLDGS CORP SR NT 01/31/27 (SWKHL) - Insider Holders & Insider Ownership

List of insiders holdings for SWK HLDGS CORP SR NT 01/31/27:

Shares directly owned by the insider.
Shares indirectly owned by the insider.
Total shares owned by the insider (sum of shares directly and indirectly owned).
Total market value if available.
Shares are not adjusted for stock split.

"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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#	Insider Holder Name	Report Date Time	Shares Owned Directly Indirectly	Total Shares Owned	Filing
1	Kay Technology Corp Inc. AKKR SPECIAL OPPORTUNITIES LLC ACCEL-KKR CAPITAL PARTNERS III LP AKKR Fund III Management Company LP AKKR MANAGEMENT COMPANY LLC 10% Owner	2009-12-23 16:42:19	0 2,000,000	2,000,000	Form 4
2	NightWatch Capital Management LLC 10% Owner	2009-11-03 11:43:24	1,595,452 0	1,595,452	Form 13D
3	FIELDS MICHAEL S CHIEF EXECUTIVE OFFICER	2006-09-12 20:21:34	1,389,939 0	1,389,939	Form 4
4	Margolis Michael A Director	2014-02-10 20:22:39	205,000 803,600	1,008,600	Form 4
5	DOYLE THOMAS H President and COO	2004-05-06 21:05:19	927,464 0	927,464	Form 4
6	Thompson John Melvin EVP and CFO	2007-08-22 12:27:57	543,100 0	543,100	Form 4
7	Burgon Paul Interim CFO and Secretary	2012-05-16 19:46:03	394,977 0	394,977	Form 4
8	Angel Mark A SVP of Development & Strategy	2009-07-10 10:39:22	390,000 0	390,000	Form 4
9	Pope James Brett CEO	2015-08-20 21:03:05	380,087 0	380,087	Form 4
10	Bruchey Marchai Burris SVP Marketing	2007-06-22 16:42:36	356,541 0	356,541	Form 3
11	SHANNAHAN MICHAEL J Chief Financial Officer	2008-03-14 11:31:05	350,000 0	350,000	Form 4
12	Turano Daniel A SVP Worldwide Field Operations	2009-07-10 06:06:43	345,000 0	345,000	Form 4
13	Jones Jay Aaron Chief Administrative Officer	2009-07-10 06:06:01	330,000 0	330,000	Form 4
14	Isaacs Charles Hart Chief Technology Officer	2009-07-10 06:05:37	282,300 0	282,300	Form 4
15	Clifford William Thaddeus Director	2014-02-10 20:17:59	255,000 0	255,000	Form 4
16	Wolf Chad Alan eVergance Pres. & KANA VP	2009-07-10 06:03:48	175,000 0	175,000	Form 4
17	BATT JERRY R Director	2009-07-10 06:04:10	170,000 0	170,000	Form 4
18	BOSE WILLIAM A VP, General Counsel & Sec	2009-07-10 06:04:27	159,958 0	159,958	Form 4
19	Vinella Stephanie Director	2009-07-10 06:07:00	155,000 0	155,000	Form 4
20	BLACK WINSTON L III Chief Executive Officer	2022-09-21 20:47:37	149,737 0	149,737	Form 4/A
21	Chotai Sham SVP Engineering	2007-06-18 19:40:47	125,000 0	125,000	Form 4
22	Staggs Joe David JR PRESIDENT	2025-04-17 16:34:14	123,766 0	123,766	Form 4
23	Nemelka John Fritzen Director	2014-02-10 20:18:22	112,544 0	112,544	Form 4
24	Rowe William Alexander SVP Worldwide Sales	2007-02-05 17:54:45	100,000 0	100,000	Form 4
25	FEICHTMANN WILLIAM CAO, VP of Finance	2009-07-10 06:05:19	95,000 0	95,000	Form 4
26	Weinberg Michael Director	2022-01-12 13:55:15	76,602 0	76,602	Form 4
27	Owen Augustus Carlson 1997 A Trust See Remarks	2024-11-01 16:05:16	62,079 0	62,079	Form 3
28	Carlson Lewis See Remarks	2024-11-01 16:05:03	62,079 0	62,079	Form 3
29	Julian Orlando Carlson 1997 A Trust See Remarks	2024-11-01 16:05:17	62,079 0	62,079	Form 3
30	Philpot Michelle VP, Finance	2005-03-04 19:58:45	50,000 0	50,000	Form 4
31	Baker Dana Blair Director	2022-01-12 13:46:02	41,625 0	41,625	Form 4
32	Haga Christopher W Director	2022-01-12 14:01:59	37,233 0	37,233	Form 4
33	MAEDA CHRIS Chief Technical Officer	2003-07-17 13:05:13	32,108 0	32,108	Form 4/A
34	Angst Tim EVP, Worldwide Operations	2005-03-28 20:23:18	30,100 0	30,100	Form 4
35	Stead Edward B Director	2022-01-12 14:10:31	26,690 0	26,690	Form 4
36	Pennington Marcus Edward Director	2024-07-01 19:55:19	22,227 0	22,227	Form 4
37	HUBBARD ALAN W EVP, R&D	2005-03-28 20:18:07	18,000 0	18,000	Form 4
38	Dotter Laurie L. Director	2025-06-18 20:15:58	16,791 0	16,791	Form 4
39	Hatcher Robert K. Director	2025-06-18 20:16:45	16,662 0	16,662	Form 4
40	Rice Adam Chief Financial Officer	2025-02-04 16:14:24	15,247 0	15,247	Form 4
41	Carlson Capital GP L.P. Asgard Investment Corp. Carlson Clint Duane 10% Owner	2024-11-01 16:05:14	0 12,354	12,354	Form 3
42	Albright Jerry Director	2025-06-18 20:16:24	10,832 0	10,832	Form 4
43	MILLS DIXIE L Director	2007-03-08 18:41:25	10,000 0	10,000	Form 4
44	Fletcher Aaron G.L. Director	2022-01-12 14:20:49	9,873 0	9,873	Form 4
45	BERTELSEN MARK A Director	2005-03-23 21:54:38	9,000 0	9,000	Form 4
46	GALVIN THOMAS A Director	2005-03-23 21:57:31	9,000 0	9,000	Form 4
47	Heinrichson Yvette M Chief Financial Officer	2022-10-05 07:00:53	8,621 0	8,621	Form 4
48	DICICCO WENDY F Director	2023-01-04 17:15:11	6,182 0	6,182	Form 4
49	Jacobson Charles M Chief Financial Officer	2014-12-01 13:45:01	6,056 0	6,056	Form 4
50	BAY CHUCK Chief Executive Officer	2006-02-15 19:02:13	4,736 0	4,736	Form 5
51	ZARRABIAN MASSOOD Director	2003-07-17 13:08:29	3,350 0	3,350	Form 4/A
52	Carlson Foundation See Remarks	2024-11-01 16:05:06	2,693 0	2,693	Form 3
53	Carlson Capital L.P. Carlson Clint Duane 10% Owner	2026-04-08 18:31:29	0 0	0	Form 13D
54	Carlson Capital L.P. Black Diamond Offshore Ltd. Double Black Diamond Offshore Ltd Asgard Investment Corp. II Carlson Clint Duane 10% Owner	2026-04-08 18:31:29	0 0	0	Form 13D
55	CARLSON CAPITAL L P DOUBLE BLACK DIAMOND L.P. Asgard Investment Corp. Carlson Clint Duane Double Black Diamond Offshore Ltd Black Diamond Offshore Ltd. Asgard Investment Corp. II See Remarks 10% Owner	2026-04-08 18:31:29	0 0	0	Form 13D
56	CARLSON CAPITAL L P Black Diamond Offshore Ltd. Double Black Diamond Offshore Ltd Asgard Investment Corp. Carlson Clint Duane Black Diamond Relative Value Offshore Ltd. 10% Owner	2026-04-08 18:31:29	0 0	0	Form 13D
57	Empire Capital Management L.L.C. 10% Owner	2008-09-02 16:53:30	0 0	0	Form 13D