SWK HLDGS CORP

Ticker: SWKH CUSIP: 78501P203 Class: Common Stock

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
CARLSON CAPITAL L P8,493,088$146,081
M3F, Inc.853,454$15
VANGUARD GROUP INC213,544$3,673
BlackRock, Inc.156,214$2,687
CREDIT INDUSTRIEL ET COMMERCIAL125,000$2,150
GEODE CAPITAL MANAGEMENT, LLC75,939$1,306
RAYMOND JAMES FINANCIAL INC70,934$1,220
CANNELL CAPITAL LLC63,069$1,085
Rangeley Capital, LLC63,000$1,084
DIMENSIONAL FUND ADVISORS LP49,359$849
STATE STREET CORP47,737$821
MORGAN STANLEY39,662$682
GOLDMAN SACHS GROUP INC38,400$660
ACADIAN ASSET MANAGEMENT LLC33,490$1
RENAISSANCE TECHNOLOGIES LLC31,800$547
NORTHERN TRUST CORP30,120$518
AQR CAPITAL MANAGEMENT LLC25,603$440
GRACE & WHITE INC /NY18,721$322
NewEdge Advisors, LLC16,892$291
PRELUDE CAPITAL MANAGEMENT, LLC10,000$172
BARCLAYS PLC4,794$82
Russell Investments Group, Ltd.4,679$80
BANK OF AMERICA CORP /DE/4,638$80
State of Wyoming4,186$72
RHUMBLINE ADVISERS3,712$64
JPMORGAN CHASE & CO3,631$62
WELLS FARGO & COMPANY/MN3,408$59
NEW YORK STATE COMMON RETIREMENT FUND2,131$37
CWM, LLC1,910$0
MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.1,447$25
Police & Firemen's Retirement System of New Jersey1,369$24
FMR LLC1,109$19
Mirae Asset Global Investments Co., Ltd.1,105$19
BNP PARIBAS ARBITRAGE, SA1,046$18
UBS Group AG547$9
Tower Research Capital LLC (TRC)351$6
HARBOR CAPITAL ADVISORS, INC.339$0
Legal & General Group Plc315$5
Ameritas Investment Partners, Inc.267$5
Sterling Capital Management LLC210$4
Marquette Asset Management, LLC188$3
CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM186$3
UBS ASSET MANAGEMENT AMERICAS INC156$3
ROYAL BANK OF CANADA118$2
Covestor Ltd110$0
AMALGAMATED BANK96$0
IFP Advisors, Inc88$2
EverSource Wealth Advisors, LLC72$1
CITIGROUP INC69$1
Private Wealth Management Group, LLC68$1
Allworth Financial LP42$1
Cornerstone Planning Group LLC41$1
Optiver Holding B.V.36$1
Farther Finance Advisors, LLC12$0
ROTHSCHILD INVESTMENT LLC7$0
PNC Financial Services Group, Inc.5$0
True Wealth Design, LLC5$0
MAI Capital Management1$0
Total (58 institutions)10,498,520$165,292