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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of Earliest Event Reported): June 14, 2024

SWK HOLDINGS CORPORATION

(Exact Name of the Registrant as Specified in Its Charter)

Delaware

(State or Other Jurisdiction of Incorporation)

001-39184 77-0435679
(Commission File Number) (IRS Employer Identification No.)
   
5956 Sherry Lane, Suite 650, Dallas, TX 75225
(Address of Principal Executive Offices) (Zip Code)

 

(972) 687-7250

(Registrant’s Telephone Number, Including Area Code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol(s)

Name of each exchange on

which registered

Common Stock, par value

$0.001 per share

 SWKH The Nasdaq Stock Market LLC
9.00% Senior Notes due 2027 SWKHL The Nasdaq Stock Market LLC

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 
 

Item 5.07 Submission of Matters to a Vote of Security Holders.

On June 14, 2024, SWK Holdings Corporation (the “Company”) held its 2024 Annual Meeting of Stockholders (the “Annual Meeting”) virtually. The following is a brief description of the final voting results for each of the proposals submitted to a vote of the stockholders at the Annual Meeting, which are described in detail in the Company’s definitive proxy statement for the Annual Meeting, filed with the U.S. Securities and Exchange Commission on April 26, 2024.

Proposal 1 – Election of Directors. Each of Jerry Albright, Laurie L. Dotter, Robert K. Hatcher and Marcus Pennington were elected to the Board of Directors, by a plurality of votes, to serve until the Company’s 2025 Annual Meeting of Stockholders and until their respective successors have been elected and qualified, or their earlier resignation, death or removal, with the voting results being as follows:

 

Nominee  For   Withhold
Authority		   Broker
Non-Votes		 
Jerry Albright   11,522,824    300,871    293,428 
Laurie L. Dotter   11,680,346    143,349    293,428 
Robert K. Hatcher   10,783,134    1,040,561    293,428 
Marcus E. Pennington   11,509,490    314,205    293,428 

 

Proposal 2 – Ratification of Independent Registered Public Accountants. The appointment of BPM LLP as the Company’s independent registered public accounting firm for the 2024 fiscal year was ratified, as follows:

For  Against  Abstain 
11,404,747  708,281  4,095 

 

Proposal 3 – Approval, on an advisory basis, of the compensation paid to certain executive officers. The stockholders approved, on an advisory basis, the compensation paid to certain executive officers, as follows:

For  Against  Abstain  Broker
Non-Votes		 
11,081,191  739,774  2,730  293,428 
 
 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

  SWK HOLDINGS CORPORATION
     
  By: /s/ Joe D. Staggs
    Joe D. Staggs
    Chief Executive Officer

 

Date: June 17, 2024

 

  

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Entity File Number 001-39184
Entity Registrant Name SWK HOLDINGS CORPORATION
Entity Central Index Key 0001089907
Entity Tax Identification Number 77-0435679
Entity Incorporation, State or Country Code DE
Entity Address, Address Line One 5956 Sherry Lane
Entity Address, Address Line Two Suite 650
Entity Address, City or Town Dallas
Entity Address, State or Province TX
Entity Address, Postal Zip Code 75225
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Common Stock, par value  
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9.00% Senior Notes due 2027  
Title of 12(b) Security 9.00% Senior Notes due 2027
Trading Symbol SWKHL
Security Exchange Name NASDAQ
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