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