الإحصائيات الأساسية
| LEI | 549300DZ1K2KDX5Q7G55 |
| CIK | 1089907 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to SWK Holdings Corporation
SEC Filings (Chronological Order)
توفر هذه الصفحة قائمة كاملة ومرتبة ترتيبًا زمنيًا لتصريحات هيئة الأوراق المالية والبورصات، باستثناء تصريحات الملكية التي نقدمها في مكان آخر.
| August 14, 2025 |
a2q25swkholdingssharehol 1 Collaborative Approach to Life Science Financing Shareholder Presentation 2Q25 | August 2025 2 Forward-looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we believe or anticipate will or may occur in the future are "forward- looking" statements within the meaning of the federal securities laws. |
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| August 14, 2025 |
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): August 14, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (C |
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| August 14, 2025 |
SWK Holdings Corporation Announces Financial Results for Second Quarter 2025 Conference Call Scheduled for Friday, August 15, 2025, at 09:00 a. |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as S |
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| July 17, 2025 |
Entry into a Material Definitive Agreement 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): July 15, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Com |
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| June 16, 2025 |
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 16, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Com |
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| May 19, 2025 |
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): May 19, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Comm |
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| May 15, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 15, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Comm |
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| May 15, 2025 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation 1Q25 | May 2025 2 Forward-looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we believe or anticipate will or may occur in the future are "forward- looking" statements within the meaning of the federal securities laws. |
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| May 15, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): May 15, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Comm |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2025 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as |
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| May 15, 2025 |
Form of Indemnification Agreement for Executive Officers INDEMNIFICATION AGREEMENT (For Officers of a Delaware Corporation) This Indemnification Agreement (“Agreement”) is made as of by and between SWK Holdings Corporation, a Delaware corporation (the “Company”), and (“Indemnitee”). |
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| May 15, 2025 |
Purchase and Sale Agreement, dated March 19, 2025, between the registrant and SCOF SPV I, LP. CERTAIN INFORMATION IN THIS DOCUMENT, MARKED BY [***], HAS BEEN EXCLUDED PURSUANT TO REGULATION S-K, ITEM 601(b)(10)(iv). |
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| May 15, 2025 |
SWK Holdings Corporation Announces Financial Results for First Quarter 2025 Conference Call Scheduled for Friday, May 16, 2025, at 09:00 a. |
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| May 15, 2025 |
Form of Indemnification Agreement for Directors INDEMNIFICATION AGREEMENT (For Directors of a Delaware Corporation) This Indemnification Agreement (“Agreement”) is made as of [] by and between SWK Holdings Corporation, a Delaware corporation (the “Company”), and [] (“Indemnitee”). |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ☒ Defi |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-39184 SWK HOLDINGS CORPORATION (Exact Name of Registrant |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-39184 SWK HOLDINGS CORPORATION (Exact Name of Registrant |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ☒ Defin |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ☐ Defin |
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| April 10, 2025 |
SWK Holdings Announces Closing of Royalty Sale and $4.00 Per Share Special Dividend Exhibit 99.1 SWK Holdings Announces Closing of Royalty Sale and $4.00 Per Share Special Dividend Dallas, TX – April 10, 2025 – SWK Holdings Corporation (Nasdaq: SWKH) (“SWK” or the “Company”), a life science-focused specialty finance company, today announced the closing of the previously announced royalty sale to SCOF SPV I, LP, an affiliate of Soleus Capital Management, for total cash proceeds of |
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| April 10, 2025 |
Unaudited Pro Forma Consolidated Financial Statements Exhibit 99.2 Unaudited Pro Forma Consolidated Financial Statements On March 19, 2025, SWK Holdings Corporation (“the Company”) entered into a purchase and sale agreement (the “Purchase and Sale Agreement”) with SCOF SPV I, LP, a Delaware limited partnership and an entity affiliated with Soleus Capital Management L.P. (the “Purchaser”) for the sale and assignment to Purchaser (the “Royalty Sale”) o |
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| April 10, 2025 |
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): April 10, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Co |
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| March 20, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): March 20, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Co |
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| March 20, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): March 20, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Co |
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| March 20, 2025 |
SWK Holdings Corporation Announces Financial Results for Fourth Quarter 2024 Conference Call Scheduled for Thursday, March 20, 2025, at 09:00 a. |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-39184 SWK HOLDINGS CORPORATION (Exact Name of Registrant |
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| March 20, 2025 |
SWK Holdings Announces Monetization of Royalty Portfolio SWK Holdings Announces Monetization of Royalty Portfolio Dallas, TX, March 19, 2025 – SWK Holdings Corporation (Nasdaq: SWKH) ("SWK" or the "Company"), a life science-focused specialty finance company catering to small- and mid-sized commercial-stage companies, today announced the monetization of its royalty portfolio through two transactions. |
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| March 20, 2025 |
SECOND AMENDMENT TO CREDIT AGREEMENT This Second Amendment to Credit Agreement (“Amendment”) is dated as of December 13, 2023 by and among SWK HOLDINGS CORPORATION (“SWK Holdings”), a Delaware corporation, and SWK FUNDING LLC (“SWK Funding”), a Delaware limited liability company (collectively and individually, the “Borrower”), FIRST HORIZON BANK, as agent for Lenders (in such capacity, “Agent”), and the financial institutions party hereto as lenders (collectively, the “Lenders” and each a “Lender”). |
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| March 20, 2025 |
Executive Employment Agreement, dated March 14, 2025 between SWK Holdings Corporation and Adam Rice Execution Version EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”), dated March 7, 2025 (the “Effective Date”), is by and between SWK Holdings Corporation, a Delaware corporation (the “Company”), and Adam Rice (“Executive”) (the Company and Executive are collectively referred to as the “Parties” or individually referred to as a “Party”). |
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| March 20, 2025 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.01 SUBSIDIARIES OF THE REGISTRANT The following is a list of subsidiaries of the Company as of December 31, 2024: Subsidiary Jurisdiction of Incorporation or Organization Ownership by SWK Holdings Corporation SWK Funding LLC Delaware 100% SWK Advisors LLC Delaware 100% SWK HP Holdings GP LLC Delaware 100% SWK Holdings Acquisitions Corporation Delaware 100% SWK Products Holdings LLC Dela |
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| March 20, 2025 |
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): March 20, 2025 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 (Co |
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| March 20, 2025 |
EX-19.1 5 swkholdingsinsidertradingp.htm EX-19.1 SWK HOLDINGS CORPORATION INSIDER TRADING COMPLIANCE PROGRAM In order to take an active role in the prevention of insider trading violations by its officers, directors, employees and other related individuals, SWK Holdings Corporation (the “Company”) has adopted the policies and procedures described below. I.Adoption of Insider Trading Policy. The Co |
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| March 20, 2025 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation March 2025 2 Forward-looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we believe or anticipate will or may occur in the future are "forward- looking" statements within the meaning of the federal securities laws. |
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| March 20, 2025 |
Execution Version THIRD AMENDMENT TO CREDIT AGREEMENT This Third Amendment to Credit Agreement (“Amendment”) is dated as of May 17, 2024 by and among SWK HOLDINGS CORPORATION (“SWK Holdings”), a Delaware corporation, and SWK FUNDING LLC (“SWK Funding”), a Delaware limited liability company (collectively and individually, the “Borrower”), FIRST HORIZON BANK, as agent for Lenders (in such capacity, “Agent”), and the financial institutions party hereto as lenders (collectively, the “Lenders” and each a “Lender”). |
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| November 15, 2024 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation November 2024 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation November 2024 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal s |
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| November 15, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): November 15, 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 (Com |
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| November 14, 2024 |
SWK Holdings Corporation Announces Financial Results for Third Quarter 2024 Conference Call Scheduled for Friday, November 15, 2024, at 09:00 a. |
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| November 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant |
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| November 14, 2024 |
Fourth Amendment to Credit Agreement and Waiver dated as of August 29, 2024 Execution Version FOURTH AMENDMENT TO CREDIT AGREEMENT AND WAIVER This Fourth Amendment to Credit Agreement and Waiver (“Amendment”) is dated as of August 29, 2024 by and among SWK HOLDINGS CORPORATION (“SWK Holdings”), a Delaware corporation, and SWK FUNDING LLC (“SWK Funding”), a Delaware limited liability company (collectively and individually, the “Borrower”), FIRST HORIZON BANK, as agent for Lenders (in such capacity, “Agent”), and the financial institutions party hereto as lenders (collectively, the “Lenders” and each a “Lender”). |
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| November 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 14, 2024 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) F11.001-39184 77-0435679 |
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| November 14, 2024 |
SWKH / SWK Holdings Corporation / CANNELL CAPITAL LLC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 ccllcswkh13g111124.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No.3) 1 SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Secu |
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| October 25, 2024 |
SWKH / SWK Holdings Corporation / CARLSON CAPITAL L P - SC 13D/A Activist Investment SC 13D/A 1 d861404dsc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 16)* SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 78501P203 (CUSIP Number) Carlson Capital, L.P. Attn: Rahim Ibrahim 2100 McKinney Av |
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| October 3, 2024 |
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): October 1, 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 (Commi |
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| August 15, 2024 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation August 2024 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation August 2024 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal sec |
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| August 15, 2024 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for Second Quarter 2024 Conference Call Scheduled for Friday, August 16, 2024, at 09:00 a.m. CST Corporate Highlights · Second quarter 2024 GAAP net income was $4.4 million, compared with net income of $3.9 million for the second quarter 2023 · Second quarter 2024 finance receivables segment adjusted non-GAAP net income was $6.5 mil |
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| August 15, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): August 15, 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 (Commi |
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| August 15, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 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): August 15, 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 (Commi |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as S |
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| July 19, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 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): July 17, 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 (Commiss |
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| July 19, 2024 |
SWK Holdings Highlights Recent Achievements and Provides Portfolio Update Exhibit 99.1 FOR IMMEDIATE RELEASE SWK Holdings Highlights Recent Achievements and Provides Portfolio Update DALLAS—ACCESSWIRE-July 17, 2024-SWK Holdings Corporation (Nasdaq: SWKH) (“SWK” or the “Company”), a life science-focused specialty finance company catering to small and mid-sized commercial-stage companies, today provided a corporate progress update as well as a summary of the achievements |
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| July 8, 2024 |
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): July 3, 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 (Commissi |
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| July 8, 2024 |
SWK Holdings Appoints Chief Financial Officer Company Also Promotes Controller Exhibit 99.1 For Immediate Release SWK Holdings Appoints Chief Financial Officer Company Also Promotes Controller DALLAS, July 8, 2024 -SWK Holdings Corporation (Nasdaq: SWKH) (“SWK” or the “Company”), a life science-focused specialty finance company catering to small- and mid-sized commercial-stage companies, is pleased to announce the appointment of Adam C. Rice, CPA, as Chief Financial Officer |
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| June 17, 2024 |
Submission of Matters to a Vote of Security Holders 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 (Commiss |
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| May 20, 2024 |
Regulation FD Disclosure, Other Events, Financial Statements and Exhibits 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): May 16, 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 (Commissi |
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| May 20, 2024 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation May 2024 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation May 2024 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal securi |
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| May 15, 2024 |
EXHIBIT 10.2 CERTAIN INFORMATION IN THIS DOCUMENT, MARKED BY [***], HAS BEEN EXCLUDED PURSUANT TO REGULATION S-K, ITEM 601(b)(10)(iv). SUCH EXCLUDED INFORMATION IS NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. CONSULTING AGREEMENT This Consulting Agreement (“Agreement”) made as of February 14, 2024 (“Effective Date”), is by and between FINANSERV LLC (“Consulta |
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| May 15, 2024 |
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): May 15, 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 (Commissi |
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| May 15, 2024 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for First Quarter 2024 Conference Call and Live Audio Webcast Scheduled for Thursday, May 16, 2024, at 10:00 a.m. ET Corporate Highlights · First quarter 2024 GAAP net income was $0.9 million, compared with net income of $4.6 million or $0.36 per share, for the first quarter 2023 · First quarter 2024 finance receivables segment adju |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ☒ Defin |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ☐ Defin |
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| March 22, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): March 22, 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 (Commis |
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| March 22, 2024 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation March 2024 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation March 2024 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal secu |
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| March 21, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 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): March 21, 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 (Commis |
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| March 21, 2024 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for Fourth Quarter 2023 Conference Call and Live Audio Webcast Scheduled for Thursday, March 21, 2024, at 10:00 a.m. ET Corporate Highlights · Fourth quarter 2023 and 2022 net income was $2.8 million · Full year 2023 net income was $15.9 million, compared to full year 2022 net income of $13.5 million · Closed a $33.0 million public |
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| March 20, 2024 |
SWK Holdings Corporation Compensation Recovery exhibit 97.01 SWK Holdings Corporation COMPENSATION RECOVERY POLICY Adopted as of November 15, 2023 SWK Holdings Corporation, a Delaware corporation (the “Company”), has adopted a Compensation Recovery Policy (this “Policy”) as described below. 1. Overview The Policy sets forth the circumstances and procedures under which the Company shall recover Erroneously Awarded Compensation from Covered Pers |
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| March 20, 2024 |
EXHIBIT 32.01 CERTIFICATION PURSUANT TO AND 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of SWK Holdings Corporation (the “Registrant”) on Form 10-K for the annual period ended December 31, 2023 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Joe D. Staggs, Principal Exec |
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| March 20, 2024 |
Consent of Independent Registered Public Accounting Firm - BPM LLP Exhibit 23.01 Consent of Independent Registered Public Accounting Firm We hereby consent to the incorporation by reference in the Registration Statements on Form S-1 (No. 333-274511), Form S-8 (Nos. 333-248089, 333-208500, 333-150944, 333-142745, 333-136705, 333-113914, 333-104711, 333-64552, 333-59842, 333-55822, 333-35730, 333-32460, 333-93591, 333-92159 and 333-87505) and Form S-3 (Nos. 333-265 |
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| March 20, 2024 |
EXHIBIT 31.01 CERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Joe D. Staggs, Principal Executive Officer and Principal Financial Officer of the registrant, certify that: 1. I have reviewed this Annual Report on Form 10-K of SWK Holdings Corporation; 2. Based on my knowledge, t |
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| March 20, 2024 |
EXHIBIT 21.01 SUBSIDIARIES OF THE REGISTRANT The following is a list of subsidiaries of the Company as of December 31, 2023: Subsidiary Jurisdiction of Incorporation or Organization Ownership by SWK Holdings Corporation SWK Funding LLC Delaware 100% SWK Advisors LLC Delaware 100% SWK HP Holdings GP LLC Delaware 100% SWK Holdings Acquisitions Corporation Delaware 100% SWK Products Holdings LLC Dela |
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| March 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-39184 SWK HOLDINGS CORPORATION (Exact Name of Registra |
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| March 20, 2024 |
SECOND AMENDMENT TO CREDIT AGREEMENT EXHIBIT 10.21 CERTAIN INFORMATION IN THIS DOCUMENT, MARKED BY [***], HAS BEEN EXCLUDED PURSUANT TO REGULATION S-K, ITEM 601(b)(10)(iv). SUCH EXCLUDED INFORMATION IS NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. SECOND AMENDMENT TO CREDIT AGREEMENT This Second Amendment to Credit Agreement (“Amendment”) is dated as of December 13, 2023 by and among SWK HOLDINGS |
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| March 19, 2024 |
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): March 13, 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 (Commis |
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| March 19, 2024 |
Exhibit 10.1 CERTAIN INFORMATION IN THIS DOCUMENT, MARKED BY [***], HAS BEEN EXCLUDED PURSUANT TO REGULATION S-K, ITEM 601(b)(10)(iv). SUCH EXCLUDED INFORMATION IS NOT MATERIAL AND IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. EXCLUSIVE OPTION AND ASSET PURCHASE AGREEMENT This Exclusive Option and Asset Purchase Agreement (the “Agreement”) and is made and effective as of Janua |
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| February 14, 2024 |
SWKH / SWK Holdings Corporation / M3 PARTNERS LP Passive Investment SC 13G/A 1 fp0087178-11sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2) SWK Holdings CorpORATION (Name of Issuer) Common Stock (Title of Class of Securities) 78501P203 (CUSIP Number) December |
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| February 13, 2024 |
SWKH / SWK Holdings Corporation / CANNELL CAPITAL LLC - SCHEDULE 13G/A Passive Investment SC 13G/A 1 ccllcswkh13g021424.htm SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No.2) 1 SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securi |
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| February 5, 2024 |
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): January 30, 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 (Comm |
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| November 9, 2023 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for Third Quarter 2023 Conference Call and Live Audio Webcast Scheduled for Thursday, November 9, 2023, at 10:00 a.m. ET Corporate Highlights · Third quarter of 2023 GAAP net income was $4.5 million or $0.36 per diluted share, compared with GAAP net income of $6.6 million or $0.51 per diluted share, for the third quarter of 2022 · C |
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| November 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 9, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| November 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant |
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| October 13, 2023 |
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): October 10, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| October 13, 2023 |
Execution Version FIRST AMENDMENT TO CREDIT AGREEMENT This First Amendment to Credit Agreement (“Amendment”) is dated as of October 10, 2023 by and among SWK HOLDINGS CORPORATION (“SWK Holdings”), a Delaware corporation, and SWK FUNDING LLC (“SWK Funding”), a Delaware limited liability company (collectively and individually, the “Borrower”), FIRST HORIZON BANK, as agent for Lenders (in such capacity, “Agent”), and the financial institutions party hereto as lenders (collectively, the “Lenders” and each a “Lender”). |
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| October 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SWK HOLDINGS CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 77-0435679 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No |
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| October 3, 2023 |
Exhibit 4.2 SWK HOLDINGS CORPORATION and Wilmington Trust, National Association as Trustee FIRST SUPPLEMENTAL INDENTURE Dated as of October 3, 2023 to the Indenture dated as of October 3, 2023 9.00% Senior Notes due 2027 Table of Contents Page Article 1 APPLICATION OF FIRST SUPPLEMENTAL INDENTURE AND CREATION OF THE NOTES 1 Section 1.1 Application of First Supplemental Indenture 1 Section 1.2 Crea |
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| October 3, 2023 |
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): September 28, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Co |
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| October 3, 2023 |
Exhibit 1.1 SWK HOLDINGS CORPORATION 9.00% SENIOR NOTES DUE 2027 UNDERWRITING AGREEMENT September 28, 2023 B. Riley Securities, Inc. As Representative of the several Underwriters named in Schedule I hereto c/o B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: SWK Holdings Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to |
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| October 3, 2023 |
Exhibit 4.1 SWK HOLDINGS CORPORATION and Wilmington Trust, National Association as Trustee INDENTURE dated as of October 3, 2023 SENIOR DEBT SECURITIES CROSS REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 6.9 (a)(2) 6.9 (a)(3) N/A (a)(4) N/A (a)(5) 6.9 (b) 6.8; 6.9 311 (a) 6.13 (b) 6.13 312 (a) 7.1 (b) 7.2 (c) 7.2 313 (a) 7.3 (b)(1) 7.3 (b)(2) 7.3 (c) 7.3 (d) 7.3 314 (a) 7.4 (b) N/A (c)( |
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| September 29, 2023 |
SWK HOLDINGS CORPORATION 9.00% Senior Notes due 2027 Filed Pursuant to Rule 424(b)(4) File Number 333-274511 PROSPECTUS $30,000,000 SWK HOLDINGS CORPORATION 9. |
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| September 28, 2023 |
Form of First Supplemental Indenture. Exhibit 4.2 SWK HOLDINGS CORPORATION and Wilmington Trust, National Association as Trustee FIRST SUPPLEMENTAL INDENTURE Dated as of [], 2023 to the Indenture dated as of [], 2023 []% Senior Notes due 2027 Table of Contents Page Article 1 APPLICATION OF FIRST SUPPLEMENTAL INDENTURE AND CREATION OF THE NOTES 1 Section 1.1 Application of First Supplemental Indenture 1 Section 1.2 Creation of the Note |
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| September 28, 2023 |
As filed with the Securities and Exchange Commission on September 28, 2023 As filed with the Securities and Exchange Commission on September 28, 2023 Registration No. |
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| September 28, 2023 |
Form T-1 Statement of Eligibility under Trust Indenture Act of 1939, as amended, of Trustee. Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 o Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) WILMINGTON TRUST, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) 16-1486454 (I.R.S. employer identification no.) 1100 North Market Street Wilmington, DE 19890-0001 (Address of principal |
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| September 28, 2023 |
Filed pursuant to Rule 433 Registration No. 333-274511 Issuer Free Writing Prospectus Supplementing the Preliminary Prospectus dated September 28, 2023 SWK HOLDINGS CORPORATION US $30,000,000 9.00% Senior Notes Due 2027 Final Term Sheet September 28, 2023 The information in this pricing term sheet relates to the offering of 9.00% Senior Notes due 2027 of SWK Holdings Corporation and is qualified i |
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| September 28, 2023 |
Exhibit 1.1 SWK HOLDINGS CORPORATION [ ]% SENIOR NOTES DUE 2027 UNDERWRITING AGREEMENT September , 2023 B. Riley Securities, Inc. As Representative of the several Underwriters named in Schedule I hereto c/o B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: SWK Holdings Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to th |
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| September 26, 2023 |
SWK HOLDINGS CORPORATION and Wilmington Trust, National Association as Trustee INDENTURE dated as of [], 2023 SENIOR DEBT SECURITIES CROSS REFERENCE TABLE TIA Section Indenture Section 310 (a)(1) 6. |
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| September 26, 2023 |
Exhibit 107 Calculation of Filing Fee Table S-1 (Form Type) SWK Holdings Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Amount Registered Proposed Maximum Offering Price Per Note Maximum Aggregate Offering Price(1)(2) Fee Rate Amount of Registration Fee Debt Senior Notes Due 2028 457(o) N/A N/A $34,500,000 0. |
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| September 26, 2023 |
SWK Holdings Corporation 5956 Sherry Lane, Suite 650 Dallas, Texas 75225 September 26, 2023 SWK Holdings Corporation 5956 Sherry Lane, Suite 650 Dallas, Texas 75225 September 26, 2023 VIA EDGAR U. |
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| September 26, 2023 |
Form T-1 Statement of Eligibility under Trust Indenture Act of 1939, as amended, of Trustee. Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 o Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) WILMINGTON TRUST, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) 16-1486454 (I.R.S. employer identification no.) 1100 North Market Street Wilmington, DE 19890-0001 (Address of principal |
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| September 26, 2023 |
Form of First Supplemental Indenture. SWK HOLDINGS CORPORATION and Wilmington Trust, National Association as Trustee FIRST SUPPLEMENTAL INDENTURE Dated as of [], 2023 to the Indenture dated as of [], 2023 []% Senior Notes due 2028 Table of Contents Page Article 1 APPLICATION OF FIRST SUPPLEMENTAL INDENTURE AND CREATION OF THE NOTES 1 Section 1. |
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| September 26, 2023 |
As filed with the Securities and Exchange Commission on September 26, 2023 As filed with the Securities and Exchange Commission on September 26, 2023 Registration No. |
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| September 26, 2023 |
Exhibit 1.1 SWK HOLDINGS CORPORATION [ ]% SENIOR NOTES DUE 2028 UNDERWRITING AGREEMENT September , 2023 B. Riley Securities, Inc. As Representative of the several Underwriters named in Schedule I hereto c/o B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: SWK Holdings Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to th |
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| September 26, 2023 |
B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 September 26, 2023 Via EDGAR Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Madeleine Mateo, Attorney Advisor RE: SWK Holdings Corporation Registration Statement on Form S-1 File No. 333-274511 Request for Acceleration Ladies and Gentlemen: Pursuant to R |
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| September 14, 2023 |
As filed with the Securities and Exchange Commission on September 14, 2023 As filed with the Securities and Exchange Commission on September 14, 2023 Registration No. |
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| September 14, 2023 |
Form T-1 Statement of Eligibility under Trust Indenture Act of 1939, as amended, of Trustee. Exhibit 25.1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 o Check if an Application to Determine Eligibility of a Trustee Pursuant to Section 305(b)(2) WILMINGTON TRUST, NATIONAL ASSOCIATION (Exact name of trustee as specified in its charter) 16-1486454 (I.R.S. employer identification no.) 1100 North Market Street Wilmington, DE 19890-0001 (Address of principal |
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| September 14, 2023 |
Exhibit 107 Calculation of Filing Fee Table S-1 (Form Type) SWK Holdings Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Amount Registered Proposed Maximum Offering Price Per Note Maximum Aggregate Offering Price(1)(2) Fee Rate Amount of Registration Fee Debt Senior Notes Due 2028 457(o) N/A N/A $40,250,000 0. |
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| August 11, 2023 |
Exhibit 99.1 SWK Holdings Corporation (SWKH) Q2 2023 Corporate & Financial Results Conference Call Wednesday, August 9, 2023, 5:00 PM ET. Executives Jason Rando, Tiberend Strategic Advisors Jody Staggs, President and Chief Executive Officer Yvette Heinrichson, Chief Financial Officer Analysts Jacob Steven, Lake Street Capital Markets Scott Jensen, Private Investor Michael Diana, Maxim Group Presen |
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| August 11, 2023 |
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): August 9, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| August 10, 2023 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for Second Quarter 2023 Conference Call and Live Audio Webcast Scheduled for Wednesday, August 9, 2023, at 5:00 p.m. ET Corporate Highlights · Second quarter 2023 GAAP net income was $3.9 million or $0.31 per diluted share, compared with net income of $0.6 million or $0.04 per diluted share, for the second quarter 2022 · Closed a $4 |
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| August 10, 2023 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 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): August 9, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as S |
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| June 30, 2023 |
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 28, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| June 30, 2023 |
EXECUTION VERSION CREDIT AGREEMENT dated as of June 28, 2023 among SWK HOLDINGS CORPORATION, and SWK FUNDING LLC, as Borrower, the LENDERS Party Hereto, and FIRST HORIZON BANK, as Agent FIRST HORIZON BANK, as Arranger and Bookrunner TABLE OF CONTENTS Page ARTICLE I DEFINITIONS SECTION 1. |
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| June 14, 2023 |
Submission of Matters to a Vote of Security Holders 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, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| May 17, 2023 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation May 17, 2023 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation May 17, 2023 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal se |
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| May 17, 2023 |
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): May 17, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commissi |
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| May 16, 2023 |
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): May 16, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commissi |
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| May 11, 2023 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for First Quarter 2023 Conference Call and Live Audio Webcast Scheduled for Thursday, May 11, 2023, at 10:00 a.m. ET Corporate Highlights · First quarter 2023 GAAP net income was $4.6 million or $0.36 per diluted share, compared with net income of $3.5 million or $0.27 per share, for the first quarter 2022 · Enteris has bid on appro |
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| May 11, 2023 |
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): May 11, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commissi |
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| May 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as |
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| May 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) þ Filed by the Registrant o Filed by a Party other than the Registrant Check the appropriate box: o Preliminary Proxy Statement o CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) þ Defin |
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| April 17, 2023 |
SWKH / Swk Holdings Corp / CANNELL CAPITAL LLC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 (Amendment No.1) 1 SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 78501P203 (CUSIP Number) April 14, 2023 (Da |
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| April 4, 2023 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation April 3, 2023 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation April 3, 2023 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal s |
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| April 4, 2023 |
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): April 4, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| April 3, 2023 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for Fourth Quarter and Full Year 2022 Conference Call and Live Audio Webcast Scheduled for Today, April 3, 2023, at 10:00 a.m. ET Corporate Highlights · Jody Staggs named President and Chief Executive Officer · Appointed Laurie Dotter as Chair of the Board and Jerry Albright to the Board of Directors · Restructuring at Enteris with |
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| April 3, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): April 3, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| March 31, 2023 |
EXHIBIT 21.01 SUBSIDIARIES OF THE REGISTRANT The following is a list of subsidiaries of the Company as of December 31, 2022: Subsidiary Jurisdiction of Incorporation or Organization Ownership by SWK Holdings Corporation SWK Funding LLC Delaware 100% SWK Advisors LLC Delaware 100% SWK HP Holdings GP LLC Delaware 100% SWK Holdings Acquisitions Corporation Delaware 100% SWK Products Holdings LLC Dela |
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| March 31, 2023 |
Exhibit 10.11 FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FIRST AMENDMENT TO LOAN AND SECURITY AGREEMENT (this “Amendment”) is made and entered into this 26th day of August, 2019, by and among SWK HOLDINGS CORPORATION, a Delaware corporation (“Holdings”), SWK FUNDING LLC, a Delaware limited liability company (“SWK”, and together with Holdings and each other Person party hereto as a borrowe |
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| March 31, 2023 |
Consent of Independent Registered Public Accounting Firm - BPM LLP Exhibit 23.01 Consent of Independent Registered Public Accounting Firm We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (Nos. 333-248089, 333-208500, 333-150944, 333-142745, 333-136705, 333-113914, 333-104711, 333-64552, 333-59842, 333-55822, 333-35730, 333-32460, 333-93591, 333-92159 and 333-87505) and Form S-3 (Nos. 333-265087 and 333-236329) of SWK |
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| March 31, 2023 |
EXHIBIT 32.01 CERTIFICATION PURSUANT TO AND 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of SWK Holdings Corporation (the “Registrant”) on Form 10-K for the annual period ended December 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Joe D. Staggs, Chief Executiv |
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| March 31, 2023 |
EXHIBIT 32.02 CERTIFICATION PURSUANT TO AND 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 In connection with the Annual Report of SWK Holdings Corporation (the “Registrant”) on Form 10-K for the annual period ended December 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Yvette M. Heinrichson, Chief |
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| March 31, 2023 |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.02 CERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Yvette M. Heinrichson, Chief Financial Officer of the registrant, certify that: 1. I have reviewed this Annual Report on Form 10-K of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain |
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| March 31, 2023 |
Exhibit 10.8 AMENDMENT NO. 2 TO STOCKHOLDERS AGREEMENT THIS AMENDMENT NO. 2 TO STOCKHOLDERS AGREEMENT (“Amendment”) is made as of March 2, 2023, by and among DOUBLE BLACK DIAMOND OFFSHORE LTD., a Cayman Islands exempted company, BLACK DIAMOND OFFSHORE LTD, a Cayman Islands exempted company (collectively, the “Stockholder”), and SWK HOLDINGS CORPORATION, a Delaware corporation (the “Company”). Capi |
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| March 31, 2023 |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.01 CERTIFICATION PURSUANT TO RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002 I, Joe D. Staggs, Chief Executive Officer of the registrant, certify that: 1. I have reviewed this Annual Report on Form 10-K of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untr |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-39184 SWK HOLDINGS CORPORATION (Exact Name of Registra |
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| March 31, 2023 |
Description of Securities Registered Under Section 12 of the Exchange Act Exhibit 4.2 Description of Securities Registered under Section 12 of the Exchange Act The following is a summary of the material terms of our capital stock. This summary does not purport to be exhaustive and is qualified in its entirety by reference to our certificate of incorporation, as amended, and bylaws and to the applicable provisions of the Delaware General Corporation Law. Copies of our ce |
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| March 15, 2023 |
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): March 10, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| March 13, 2023 |
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): March 13, 2023 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| February 10, 2023 |
SWKH / SWK Holdings Corp / M3 PARTNERS LP Passive Investment SC 13G/A 1 fp0082186-7sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1) SWK Holdings CorpORATION (Name of Issuer) Common Stock (Title of Class of Securities) 78501P203 (CUSIP Number) December 3 |
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| January 3, 2023 |
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): December 12, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| January 3, 2023 |
Employment Agreement, dated January 2, 2023 between SWK Holdings Corporation and Jody Staggs Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT This EXECUTIVE EMPLOYMENT AGREEMENT (this ?Agreement?), dated January 2, 2023, is by and between SWK Holdings Corporation, a Delaware corporation (the ?Company?), and Jody Staggs (?Executive?) (the Company and Executive collectively referred to as the ?Parties? or individually referred to as a ?Party?). WHEREAS, Executive is currently employed as the Pre |
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| November 22, 2022 |
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): November 16, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| November 22, 2022 |
Exhibit 10.1 FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND WAIVER THIS FIFTH AMENDMENT TO LOAN AND SECURITY AGREEMENT AND WAIVER (this ?Amendment?) is made and entered into on November 16, 2022, by and among SWK HOLDINGS CORPORATION, a Delaware corporation (?Holdings?), SWK FUNDING LLC, a Delaware limited liability company (?SWK?, and together with Holdings and each other Person party hereto |
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| November 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 9, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant |
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| November 9, 2022 |
Exhibit 10.1 14755 Preston Road, Suite 105 Dallas, Texas 75254 September 16, 2022 BY EMAIL Jody Staggs Dear Jody, SWK Holdings Corporation (the ?Company?) is pleased to extend this offer letter to you in connection with your appointment as the Company?s President, effective September 1, 2022, and Interim Chief Executive Officer, effective September 30, 2022. The terms contained herein will be effe |
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| November 9, 2022 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for Third Quarter 2022 Conference Call and Live Audio Webcast Scheduled for Thursday, November 10, 2022, at 10:00 a.m. ET Corporate Highlights ? Successful leadership transition with Jody Staggs named President and Interim Chief Executive Officer and Yvette Heinrichson named Chief Financial Officer ? Closed three new transactions du |
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| November 9, 2022 |
Exhibit 10.2 EXECUTION VERSION SEPARATION AND RELEASE AGREEMENT This SEPARATION AGREEMENT (this ?Agreement?), effective as of August 31, 2022 (the ?Effective Date?) is made and entered into by and between SWK Holdings Corporation, a Delaware corporation (the ?Company?), and Winston L. Black III (?Executive?), with reference to the following circumstances, namely: RECITALS WHEREAS, Executive has be |
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| October 6, 2022 |
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): October 3, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
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| September 28, 2022 |
Exhibit 10.1 FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS FOURTH AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is made and entered into on September 26, 2022, by and among SWK HOLDINGS CORPORATION, a Delaware corporation (?Holdings?), SWK FUNDING LLC, a Delaware limited liability company (?SWK?, and together with Holdings and each other Person party hereto as a borrower from |
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| September 28, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): September 26, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Co |
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| September 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 31, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-391 |
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| September 1, 2022 |
EX-99.1 2 e22410ex99-1.htm Exhibit 99.1 SWK Holdings Announces Leadership Transition Jody Staggs appointed as President and Interim CEO CEO Winston Black will assist in an interim consulting role after successfully establishing SWK Holdings as a leading life science focused specialty finance company Portfolio and pipeline remain strong as evidenced by recent closing of two $25 million credit agree |
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| September 1, 2022 |
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): August 31, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
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| August 24, 2022 |
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): August 24, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
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| August 17, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): August 17, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
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| August 17, 2022 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation August 11, 2022 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation August 11, 2022 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 2) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 SWK HOLDINGS CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 77-0435679 (State of Incorporation or Organization) (IRS Employer Identification No.) |
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| August 15, 2022 |
Third Amended and Restated Certificate of Incorporation, dated as of August 12, 2022. Exhibit 3.1 THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SWK HOLDINGS CORPORATION (Originally incorporated June 17, 1999 under the name Kana Communications, Inc.) ARTICLE I The name of this corporation is SWK Holdings Corporation (the ?Corporation?). ARTICLE II The address of the Corporation?s registered office in the State of Delaware is 251 Little Falls Drive, County of New Castle, |
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| August 15, 2022 |
Amended and Restated Bylaws, dated as of August 12, 2022. Exhibit 3.2 SWK HOLDINGS CORPORATION AMENDED AND RESTATED BYLAWS Article I - STOCKHOLDERS Section 1. Annual Meetings. The annual meeting of stockholders of SWK Holdings Corporation (the ?Corporation?), for the election of directors to succeed those whose terms expire and for the transaction of such other business as may properly come before the meeting, shall be held at such place, if any, on such |
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| August 15, 2022 |
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): August 15, 2022 (August 10, 2022) SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 |
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| August 10, 2022 |
EXHIBIT 32.02 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Quarterly Report of SWK Holdings Corporation (the “Registrant”) on Form 10-Q for the quarterly period ended June 30, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Charles M. Jacobson, Chief Financial Office |
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| August 10, 2022 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for Second Quarter 2022 Conference Call and Live Audio Webcast Scheduled for Thursday, August 11, 2022, at 10:00 a.m. ET Corporate Highlights ? Celebrated 10th anniversary as a life science focused specialty finance company catering to small- and mid-sized commercial-stage companies ? Added to Russell 3000? Index, Russell 2000? Inde |
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| August 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as S |
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| August 10, 2022 |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.01 CERTIFICATION I, Winston L. Black, Chief Executive Officer of the registrant, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which su |
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| August 10, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): August 10, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
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| August 10, 2022 |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.02 CERTIFICATION I, Charles M. Jacobson, Chief Financial Officer of the registrant, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
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| August 10, 2022 |
EXHIBIT 32.01 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Quarterly Report of SWK Holdings Corporation (the “Registrant”) on Form 10-Q for the quarterly period ended June 30, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Winston L. Black, Chief Executive Officer o |
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| July 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant o Filed by a Party other than the Registrant Check the appropriate box: o Preliminary Proxy Statement o CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) ? Defin |
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| July 13, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): July 13, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| July 13, 2022 |
SWK Holdings Corporation Marks 10th Anniversary, Celebrating Growth and Progress Since 2012, SWK Holdings has completed financings with 46 life sciences companies, deploying $650 million of capital Second Quarter 2022 Financial Results to be Announced in August DALLAS, July 13, 2022 - SWK Holdings Corporation (Nasdaq: SWKH), a life science-focused specialty finance company catering to small-and mid-sized commercial-stage companies, announced today the celebration of the 10th anniversary under its current business strategy. |
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| July 11, 2022 |
SWKH / SWK Holdings Corp / M3 PARTNERS LP Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock (Title of Class of Securities) 78501P203 (CUSIP Number) June 29, 2022 (Date of Event Which Requires Filing of This St |
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| July 11, 2022 |
EX-99.1 2 fp0077491ex991.htm EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock of SWK Holdings Corporation and further agree that this Joint Filing Agreem |
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| July 8, 2022 |
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 30, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| July 8, 2022 |
Letter Agreement, dated June 30, 2022, by and between the Company and Winston L. Black III Exhibit 10.1 14755 Preston Road, Suite 105 Dallas, Texas 75254 June 30, 2022 BY EMAIL Winston L. Black III Dear Winston, SWK Holdings Corporation (the ?Company?) and you have agreed to extend the Term as defined in your employment agreement with the Company, dated January 28, 2019 (?Employment Agreement?), on the same terms and conditions through August 31, 2022, and your base salary shall remain |
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| July 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ? Filed by the Registrant o Filed by a Party other than the Registrant Check the appropriate box: ? Preliminary Proxy Statement o CONFIDENTIAL, FOR USE OF THE COMMISSION ONLY (AS PERMITTED BY RULE 14a-6(e)(2)) o Defin |
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| June 29, 2022 |
Amendment No. 1 to the Stockholders’ Agreement dated June 28, 2022 Exhibit 10.1 Execution Version AMENDMENT NO. 1 TO Stockholders? AGREEMENT This AMENDMENT NO. 1 (this ?Amendment?), dated as of June 28, 2022, amends that certain Stockholders? Agreement, dated as of August 18, 2014 (the ?Stockholders? Agreement?), by and between SWK Holdings Corporation, a Delaware corporation (the ?Company?), Double Black Diamond Offshore Ltd. (?Double Black Diamond Offshore?), a |
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| June 29, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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 28, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| June 27, 2022 |
Exhibit 99.1 SWK Holdings Corporation Added to Russell 3000? Index, Russell 2000? Index and Russell Microcap? Index DALLAS, June 27, 2022 - SWK Holdings Corporation (Nasdaq: SWKH), a life science-focused specialty finance company catering to small-and mid-sized commercial-stage companies, announced today its addition to the Russell 2000, Russell 3000 and Russell MicroCap Indexes as part of their a |
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| June 27, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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 27, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commiss |
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| May 25, 2022 |
SWK Holdings Corporation 14755 Preston Road, Suite 105 Dallas, TX 75254 CORRESP 1 filename1.htm SWK Holdings Corporation 14755 Preston Road, Suite 105 Dallas, TX 75254 May 25, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Sonia Bednarowski Re: SWK Holdings Corporation Registration Statement on Form S-3 (File No. 333-265087) Ladies and Gentlemen: Pursuant to Rule 461 under the |
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| May 19, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) SWK Holdings Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial effective date Filing Fee Previously Paid In Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to Be Paid Equity Common Stock, par value $0. |
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| May 19, 2022 |
Exhibit 99.1 SWK Holdings Corporation Announces Filing of Form S-3 Shelf Registration Statement Authorizes 10b5-1 Stock Repurchase Program DALLAS, May 19, 2022 ? SWK Holdings Corporation (Nasdaq: SWKH) (?SWK? or the ?Company?), a life science focused specialty finance company catering to small- and mid-sized commercial-stage companies, announced today that it has filed a universal shelf registrati |
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| May 19, 2022 |
Form of Indenture with respect to Senior Debt Securities EXHIBIT 4.1 SWK HOLDINGS CORPORATION AND Trustee FORM OF INDENTURE Dated as of Debt Securities Reconciliation and tie between Trust Indenture Act of 1939, as amended, and the Indenture Trust Indenture Act Section Indenture Section (S)310(a)(1) 6.8 (a)(2) 6.8 (b) 6.9 (S)312(a) 7.1 (b) 7.2 (c) 7.2 (S)313(a) 7.3 (b)(2) 7.3 (c) 7.3 (d) 7.3 (S)314(a) 7.4 (c)(1) 1.2 (c)(2) 1.2 (e) 1.2 (f) 1.2 (S)316(a) |
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| May 19, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events 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): May 19, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commissi |
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| May 19, 2022 |
As filed with the Securities and Exchange Commission on May 19, 2022 S-3 1 e22312swkh-s3.htm As filed with the Securities and Exchange Commission on May 19, 2022 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SWK Holdings Corporation (Exact name of registrant as specified in its charter) Delaware 77-0435679 (State or other jurisdiction of incorporation or |
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| May 18, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): May 17, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commissi |
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| May 18, 2022 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation May 17, 2022 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation May 17, 2022 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal se |
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| May 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): May 11, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commissi |
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| May 11, 2022 |
Exhibit 99.1 SWK Holdings Corporation Announces Financial Results for First Quarter 2022 Conference Call and Live Audio Webcast Scheduled for Wednesday, May 11, 2022, at 10:00 a.m. ET Corporate Highlights ? During first quarter of 2022, completed two structured debt transactions deploying $18.5 million with an additional $4.2 million funded to existing borrowers ? Received a $10.7 million cash pay |
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| May 10, 2022 |
EXHIBIT 32.02 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Quarterly Report of SWK Holdings Corporation (the “Registrant”) on Form 10-Q for the quarterly period ended March 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Charles M. Jacobson, Chief Financial Offic |
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| May 10, 2022 |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.02 CERTIFICATION I, Charles M. Jacobson, Chief Financial Officer of the registrant, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
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| May 10, 2022 |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.01 CERTIFICATION I, Winston L. Black, Chief Executive Officer of the registrant, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which su |
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| May 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant as |
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| May 10, 2022 |
EXHIBIT 32.01 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Quarterly Report of SWK Holdings Corporation (the “Registrant”) on Form 10-Q for the quarterly period ended March 31, 2022 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Winston L. Black, Chief Executive Officer |
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| May 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-39184 SWK HOLDINGS CORPORATION (Ex |
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| May 2, 2022 |
EXHIBIT 31.04 CERTIFICATION I, Charles M. Jacobson, Chief Financial Officer of the registrant, certify that: 1. I have reviewed this Amendment No. 1 to Annual Report on Form 10-K of SWK Holdings Corporation. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumsta |
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| May 2, 2022 |
EXHIBIT 31.03 CERTIFICATION I, Winston L. Black, Chief Executive Officer of the registrant, certify that: 1. I have reviewed this Amendment No. 1 to Annual Report on Form 10-K/A of SWK Holdings Corporation. 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstan |
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| April 1, 2022 |
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): March 31, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| April 1, 2022 |
14755 Preston Road, Suite 105 Dallas, Texas 75254 March 31, 2022 BY EMAIL Winston L. |
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| April 1, 2022 |
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): March 31, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| April 1, 2022 |
Exhibit 4.01 Execution Version AMENDMENT NO. 3 TO RIGHTS AGREEMENT This AMENDMENT NO. 3 (this ?Amendment?), dated as of March 31, 2022, to that certain Rights Agreement, dated as of April 8, 2016, and as amended by that certain Amendment No. 1, dated as of April 8, 2019, and by that certain Amendment No. 2, dated as of February 23, 2021 (as heretofore amended, the ?Rights Agreement?), is by and be |
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| April 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A (Amendment No. 3) FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 SWK HOLDINGS CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 77-0435679 (State of Incorporation or Organization) (IRS Employer Identification No.) |
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| March 29, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): March 28, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| March 29, 2022 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation March 28, 2022 Exhibit 99.1 1 Collaborative Approach to Life Science Financing Shareholder Presentation March 28, 2022 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal |
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| March 28, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): March 28, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commis |
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| March 28, 2022 |
SWK Holdings Corporation Announces Financial Results for Fourth Quarter and Full-Year 2021 Conference Call and Live Audio Webcast Scheduled for Monday, March 28, 2022, at 10:00 a. |
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| March 25, 2022 |
EXHIBIT 32.01 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Annual Report of SWK Holdings Corporation (the “Registrant”) on Form 10-K for the annual period ended December 31, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Winston L. Black, Chief Executive Officer of |
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| March 25, 2022 |
Consent of Independent Registered Public Accounting Firm - BPM LLP EXHIBIT 23.01 Consent of Independent Registered Public Accounting Firm We hereby consent to the incorporation by reference in the Registration Statements on Form S-8 (Nos. 333-248089, 333-208500, 333-150944, 333-142745, 333-136705, 333-113914, 333-104711, 333-64552, 333-59842, 333-55822, 333-35730, 333-32460, 333-93591, 333-92159 and 333-87505) and Form S-3 (No. 333-236329) of SWK Holdings Corpora |
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| March 25, 2022 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.01 SUBSIDIARIES OF THE REGISTRANT The following is a list of subsidiaries of the Company as of December 31, 2021: Subsidiary Jurisdiction of Incorporation or Organization Ownership by SWK Holdings Corporation SWK Funding LLC Delaware 100% SWK Advisors LLC Delaware 100% SWK HP Holdings GP LLC Delaware 100% SWK Holdings Acquisitions Corporation Delaware 100% SWK Products Holdings LLC Dela |
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| March 25, 2022 |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.02 CERTIFICATION I, Charles M. Jacobson, Chief Financial Officer of the registrant, certify that: 1. I have reviewed this Annual Report on Form 10-K of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which su |
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| March 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 001-39184 SWK HOLDINGS CORPORATION (Exact Name of Registra |
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| March 25, 2022 |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.01 CERTIFICATION I, Winston L. Black, Chief Executive Officer of the registrant, certify that: 1. I have reviewed this Annual Report on Form 10-K of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such |
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| March 25, 2022 |
EXHIBIT 32.02 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Annual Report of SWK Holdings Corporation (the “Registrant”) on Form 10-K for the annual period ended December 31, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Charles M. Jacobson, Chief Financial Officer |
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| February 16, 2022 |
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): February 15, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| February 16, 2022 |
SWK Holdings Announces Reconstitution of Board of Directors with New Appointments EX-99.1 2 e22088ex99-1.htm Exhibit 99.1 SWK Holdings Announces Reconstitution of Board of Directors with New Appointments Dallas, TX, February 16, 2022 – SWK Holdings Corporation (Nasdaq: SWKH), a life sciences focused specialty finance company catering to small- and mid-sized commercial-stage companies, today announced the reconstitution of the Company’s Board of Directors with three new appointm |
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| February 10, 2022 |
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): February 4, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| February 9, 2022 |
Exhibit 99.1 SWK Holdings Provides Portfolio Update Highlighting Recent Achievements Fourth Quarter 2021 Financial Results to be Announced in March Dallas, TX, February 9, 2022? SWK Holdings Corporation (Nasdaq: SWKH) (?SWK? or the ?Company?), a life science focused specialty finance company catering to small- and mid-sized commercial-stage companies, today provided an update on the progress and a |
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| February 9, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): February 9, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| January 10, 2022 |
SWKH / SWK Holdings Corp / CARLSON CAPITAL L P - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 15)* SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 78501P203 (CUSIP Number) Marcus Pennington Carlson Capital, L.P. 2100 McKinney Avenue Dallas, TX 75201 (214) 932- |
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| January 7, 2022 |
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): January 5, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
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| January 6, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): January 5, 2022 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
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| January 6, 2022 |
Special Committee Concludes Review of Non-Binding Proposal from Carlson Capital Exhibit 99.1 Special Committee Concludes Review of Non-Binding Proposal from Carlson Capital Dallas, TX, January 5, 2022 ? SWK Holdings Corporation (Nasdaq: SWKH) (the ?Company? or ?SWK?) today announced that the special committee of the Company?s board of directors (the ?Special Committee?) has concluded its investigation of the non-binding proposal received from funds managed by Carlson Capital, |
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| January 4, 2022 |
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): December 31, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| January 3, 2022 |
Letter Agreement, dated December 30, 2021, by and between the Company and Winston L. Black III Exhibit 10.1 14755 Preston Road, Suite 105 Dallas, Texas 75254 December 30, 2021 BY EMAIL Winston L. Black III Dear Winston, SWK Holdings Corporation (the ?Company?) and you have agreed to extend the Term as defined in your employment agreement with the Company, dated January 28, 2019 (?Employment Agreement?), on the same terms and conditions through March 31, 2022, and your base salary shall incr |
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| January 3, 2022 |
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): December 30, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| December 28, 2021 |
SWKH / SWK Holdings Corp / CARLSON CAPITAL L P - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 14)* SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 78501P203 (CUSIP Number) Marcus Pennington Carlson Capital, L.P. 2100 McKinney Avenue Dallas, TX 75201 (214) 932- |
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| December 10, 2021 |
Exhibit 99.1 SWK Holdings? Subsidiary, Enteris BioPharma, Receives $5 Million Milestone Payment from Cara Therapeutics Fourth milestone payment triggered by successful completion of process technology transfer related to the development of Oral KORSUVA? Dallas, TX, December 9, 2021 ? SWK Holdings Corporation (Nasdaq: SWKH), a life sciences focused specialty finance company catering to small- and m |
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| December 10, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): December 9, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| November 24, 2021 |
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): November 23, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| November 24, 2021 |
SWK Holdings Confirms Receipt of Non-Binding Proposal from Carlson Capital L.P. Announces Formation of Special Committee Dallas, TX, November 24, 2021 ? SWK Holdings Corporation (Nasdaq: SWKH) (the ?Company? or ?SWK?) confirmed that on November 23, 2021, it received a non-binding proposal from funds managed by Carlson Capital, L.P. (?Carlson?) to acquire all shares of SWK not already owned by Carl |
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| November 23, 2021 |
EX-99.20 2 d263981dex9920.htm EX-99.20 Exhibit 20 November 23, 2021 Winston L. Black, Chairman D. Blair Baker Aaron G.L. Fletcher Christopher W. Haga Edward B. Stead Michael Weinberg SWK Holdings Corporation 14755 Preston Road, Suite 105 Dallas, Texas 75254 Dear Members of the Board of Directors: On behalf of funds managed by Carlson Capital, L.P. (together with its affiliated funds, “Carlson Capi |
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| November 23, 2021 |
SWKH / SWK Holdings Corp / CARLSON CAPITAL L P - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 13)* SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 78501P203 (CUSIP Number) Marcus Pennington Carlson Capital, L.P. 2100 McKinney Avenue Dallas, TX 75201 (214) 932- |
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| November 23, 2021 |
SWK Holdings Collaborative Approach to Life Science Financing Shareholder Presentation November 17, 2021 Forward-looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we believe or anticipate will or may occur in the future are "forward-looking" statements within the meaning of the federal securities laws. |
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| November 23, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): November 23, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| November 12, 2021 |
SWKH / SWK Holdings Corp / CARLSON CAPITAL L P - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 12)* SWK HOLDINGS CORPORATION (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 78501P203 (CUSIP Number) Marcus Pennington Carlson Capital, L.P. 2100 McKinney Avenue Dallas, TX 75201 (214) 932- |
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| November 12, 2021 |
EXHIBIT 32.02 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Quarterly Report of SWK Holdings Corporation (the “Registrant”) on Form 10-Q for the quarterly period ended September 30, 2021 as filed with the Securities and Exchange Commission on the date hereof (the “Report”), I, Charles M. Jacobson, Chief Financial O |
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| November 12, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 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): November 12, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| November 12, 2021 |
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.02 CERTIFICATION I, Charles M. Jacobson, Chief Financial Officer of the registrant, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which |
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| November 12, 2021 |
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): November 9, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-39184 SWK Holdings Corporation (Exact Name of Registrant |
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| November 12, 2021 |
EXHIBIT 32.01 CERTIFICATION PURSUANT TO RULE 13a-14(b) OF THE SECURITIES EXCHANGE ACT OF 1934 AND 18 U.S.C. SECTION 1350 In connection with the Quarterly Report of SWK Holdings Corporation (the ?Registrant?) on Form 10-Q for the quarterly period ended September 30, 2021 as filed with the Securities and Exchange Commission on the date hereof (the ?Report?), I, Winston L. Black, Chief Executive Offi |
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| November 12, 2021 |
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. EXHIBIT 31.01 CERTIFICATION I, Winston L. Black, Chief Executive Officer of the registrant, certify that: 1. I have reviewed this Quarterly Report on Form 10-Q of SWK Holdings Corporation; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which su |
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| November 12, 2021 |
SWK Holdings Corporation Announces Financial Results for Third Quarter 2021 Conference Call and Live Audio Webcast Scheduled for Monday, November 15, 2021 at 10:00 a. |
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| November 1, 2021 |
SWK Holdings Announces Strategic Plan to Focus on Core Specialty Finance Business Commitment to focus on and grow SWK?s core specialty finance business going forward ? The Company will pursue opportunities to optimize its capital structure with additional leverage to enhance returns and improve the business? growth. |
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| November 1, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): November 1, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Comm |
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| October 1, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): September 27, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Co |
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| October 1, 2021 |
Exhibit 10.1 THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT THIS THIRD AMENDMENT TO LOAN AND SECURITY AGREEMENT (this ?Amendment?) is made and entered into on September 27, 2021, by and among SWK HOLDINGS CORPORATION, a Delaware corporation (?Holdings?), SWK FUNDING LLC, a Delaware limited liability company (?SWK?, and together with Holdings and each other Person party hereto as a borrower from ti |
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| September 8, 2021 |
1 Collaborative Approach to Life Science Financing Shareholder Presentation August 17, 2021 1 Collaborative Approach to Life Science Financing Shareholder Presentation August 17, 2021 2 Forward - looking and Cautionary Statements Statements in this presentation that are not strictly historical, and any statements regarding events or developments that we be lieve or anticipate will or may occur in the future are "forward - looking" statements within the meaning of the federal securities laws. |
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| September 8, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): September 8, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Com |
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| August 17, 2021 |
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): August 11, 2021 SWK HOLDINGS CORPORATION (Exact Name of the Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation) 001-39184 77-0435679 (Commi |
