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Carlson Capital affiliates and related entities report that they no longer beneficially own any shares of SWK Holdings Corporation following its merger with Runway Growth Finance Corp. On April 6, 2026, SWK merged into an acquisition subsidiary of Runway under an Agreement and Plan of Merger.
At the merger’s effective time, each share of SWK common stock was converted into either 1.7264 shares of Runway common stock or $20.59 in cash, based on each holder’s election and subject to proration, plus an additional $0.74 per share cash payment funded by the adviser. After this transaction, the reporting persons’ beneficial ownership fell to 0 shares, or 0% of SWK’s outstanding stock.
Carlson Capital affiliates and related entities report that they no longer beneficially own any shares of SWK Holdings Corporation following its merger with Runway Growth Finance Corp. On April 6, 2026, SWK merged into an acquisition subsidiary of Runway under an Agreement and Plan of Merger.
At the merger’s effective time, each share of SWK common stock was converted into either 1.7264 shares of Runway common stock or $20.59 in cash, based on each holder’s election and subject to proration, plus an additional $0.74 per share cash payment funded by the adviser. After this transaction, the reporting persons’ beneficial ownership fell to 0 shares, or 0% of SWK’s outstanding stock.
SWK Holdings Corp reported that, on completion of its merger with a Runway Growth Finance Corp subsidiary, all outstanding SWK common shares were cancelled and converted into the right to receive merger consideration. Each SWK share became exchangeable for either 1.7264 shares of Runway Growth Finance common stock or $20.59 in cash, in each case plus an additional cash payment of $0.74 per share funded by Runway Growth Capital LLC.
The Form 4 shows that SWK shares held through various Carlson-related funds, entities, trusts and individuals were adjusted in this restructuring, with the entries reflecting non-market "other" transactions and zero SWK shares reported as held afterward. The reporting persons disclaim beneficial ownership beyond their pecuniary interests.
SWK Holdings Corp reported that, on completion of its merger with a Runway Growth Finance Corp subsidiary, all outstanding SWK common shares were cancelled and converted into the right to receive merger consideration. Each SWK share became exchangeable for either 1.7264 shares of Runway Growth Finance common stock or $20.59 in cash, in each case plus an additional cash payment of $0.74 per share funded by Runway Growth Capital LLC.
The Form 4 shows that SWK shares held through various Carlson-related funds, entities, trusts and individuals were adjusted in this restructuring, with the entries reflecting non-market "other" transactions and zero SWK shares reported as held afterward. The reporting persons disclaim beneficial ownership beyond their pecuniary interests.
SWK Holdings Corp filed a Form 25 notifying Nasdaq Stock Market LLC of the removal of its Common Stock from listing and/or registration under Section 12(b) of the Exchange Act. The notification cites compliance with 17 CFR 240.12d2-2 and is signed on behalf of Nasdaq by Jennifer Fainer.
SWK Holdings Corp filed a Form 25 notifying Nasdaq Stock Market LLC of the removal of its Common Stock from listing and/or registration under Section 12(b) of the Exchange Act. The notification cites compliance with 17 CFR 240.12d2-2 and is signed on behalf of Nasdaq by Jennifer Fainer.
SWK Holdings Corporation completed a multi-step merger with Runway Growth Finance Corp. (RWAY), after which SWK became a wholly owned subsidiary of RWAY and its Nasdaq-listed common stock will be delisted and deregistered.
At the effective time, each SWK share converted into either 1.7264 shares of RWAY common stock or $20.59 in cash, based on stockholder elections and proration, plus an additional $0.74 per share guaranteed cash payment funded by Runway Growth Capital LLC. In total, RWAY issued approximately 6,330,640 shares of its stock and paid $173,539,245.32 in cash to former SWK stockholders.
SWK amended its indenture governing $30.0 million of 9.00% Senior Notes due 2027 to add restrictive covenants and an extra event of default tied to Investment Company Act requirements. SWK’s credit facility with First Horizon Bank was fully repaid and terminated, all related liens were released, and all SWK directors and officers were replaced by those of the merger subsidiary.
SWK Holdings Corporation completed a multi-step merger with Runway Growth Finance Corp. (RWAY), after which SWK became a wholly owned subsidiary of RWAY and its Nasdaq-listed common stock will be delisted and deregistered.
At the effective time, each SWK share converted into either 1.7264 shares of RWAY common stock or $20.59 in cash, based on stockholder elections and proration, plus an additional $0.74 per share guaranteed cash payment funded by Runway Growth Capital LLC. In total, RWAY issued approximately 6,330,640 shares of its stock and paid $173,539,245.32 in cash to former SWK stockholders.
SWK amended its indenture governing $30.0 million of 9.00% Senior Notes due 2027 to add restrictive covenants and an extra event of default tied to Investment Company Act requirements. SWK’s credit facility with First Horizon Bank was fully repaid and terminated, all related liens were released, and all SWK directors and officers were replaced by those of the merger subsidiary.
SWK Holdings Corporation files its Annual Report outlining a specialty finance strategy focused on healthcare and life sciences. The company’s business now centers on its Finance Receivables segment after selling substantially all assets of its Pharmaceutical Development segment in 2025.
SWK provides royalty-backed and revenue interest financings, mainly in sub-$50 million transactions, and has funded about $876.1 million across 58 parties as of March 7, 2026. As of June 30, 2025, common equity held by non-affiliates was valued at $45,770,456, and 12,095,979 common shares were outstanding as of March 16, 2026.
The report highlights extensive risk factors, including credit losses on royalty and debt investments, heavy regulation of life sciences, dependence on third parties to market royalty-generating products, limited portfolio diversification, cybersecurity and AI-related risks, significant influence from a controlling stockholder group, and potential impacts from announced mergers.
SWK Holdings Corporation files its Annual Report outlining a specialty finance strategy focused on healthcare and life sciences. The company’s business now centers on its Finance Receivables segment after selling substantially all assets of its Pharmaceutical Development segment in 2025.
SWK provides royalty-backed and revenue interest financings, mainly in sub-$50 million transactions, and has funded about $876.1 million across 58 parties as of March 7, 2026. As of June 30, 2025, common equity held by non-affiliates was valued at $45,770,456, and 12,095,979 common shares were outstanding as of March 16, 2026.
The report highlights extensive risk factors, including credit losses on royalty and debt investments, heavy regulation of life sciences, dependence on third parties to market royalty-generating products, limited portfolio diversification, cybersecurity and AI-related risks, significant influence from a controlling stockholder group, and potential impacts from announced mergers.
SWK Holdings Corporation entered into a Seventh Amendment to its Credit Agreement with First Horizon Bank and other lenders. Effective February 12, 2026, the amendment revises the financial covenants and reduces the aggregate lending commitments from $10.0 million to $7.5 million.
The amendment relates to the company’s existing facility originally dated June 28, 2023, and is documented in the filed Seventh Amendment to Credit Agreement, which is incorporated by reference as an exhibit.
SWK Holdings Corporation entered into a Seventh Amendment to its Credit Agreement with First Horizon Bank and other lenders. Effective February 12, 2026, the amendment revises the financial covenants and reduces the aggregate lending commitments from $10.0 million to $7.5 million.
The amendment relates to the company’s existing facility originally dated June 28, 2023, and is documented in the filed Seventh Amendment to Credit Agreement, which is incorporated by reference as an exhibit.