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 18, 2020

 

SWK HOLDINGS CORPORATION

 

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

Delaware

(State or Other Jurisdiction of Incorporation)

 

001-39184

77-0435679

(Commission File Number)

(IRS Employer Identification No.)

   

14755 Preston Road, Suite 105, Dallas, TX

75254

(Address of Principal Executive Offices)

(Zip Code)

 

(972) 687-7250

(Registrant’s Telephone Number, Including Area Code)

 

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

 

o

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

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

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common Stock, par value $0.001 per share

SWKH

The Nasdaq Stock Market LLC

Preferred Stock
Purchase Rights

SWKH

The Nasdaq Stock Market LLC

 

 

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

 

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

 
 

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

 

SWK Holdings Corporation (the “Company”) held its 2020 annual meeting of stockholders on May 18, 2020. At the meeting, the Company’s stockholders elected D. Blair Baker, Winston L. Black, Aaron G.L. Fletcher, Christopher W. Haga, Edward B. Stead, and Michael D. Weinberg to serve as directors for a term expiring in 2021. Additionally, stockholders voted to ratify the selection of BPM, LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020. Stockholders also voted affirmatively on an advisory basis to approve the compensation to certain executives.

 

1.

Election of Directors

 

Nominee

For

Withhold Authority

Broker Non-Votes

D. Blair Baker

10,264,659

   904,411

1,365,091

Winston L. Black

10,264,618

   904,452

1,365,091

Aaron G.L. Fletcher

10,264,118

   904,952

1,365,091

Christopher W. Haga

10,254,659

   914,411

1,365,091

Edward B. Stead

  9,672,467

1,496,603

1,365,091

Michael D. Weinberg

10,253,699

   915,371

1,365,091

 

2.

Ratification of Independent Registered Public Accounting Firm

 

For

Against

Abstain

 Broker Non-Votes

12,531,127

1,121

1,913

0

 

3.

Executive Compensation

 

For

Against

Abstain

 Broker Non-Votes

10,355,053

170,293

643,724

1,365,091

 

 

 
 

SIGNATURES

 

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

 

SWK HOLDINGS CORPORATION

 

By:

/s/ WINSTON BLACK

Winston Black

Chief Executive Officer

 

Date: May 18, 2020