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SWKH Swk

Filed: 16 Nov 20, 8:00am

 

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 13, 2020

 

SWK HOLDINGS CORPORATION

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

Delaware

(State or Other Jurisdiction of Incorporation)

  
001-3918477-0435679
(Commission File Number)(IRS Employer Identification No.)
  
14755 Preston Road, Suite 105, Dallas TX75254
(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:

 

oWritten communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
oSoliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
oPre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
oPre-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 classTrading Symbol(s)Name of each exchange on which registered
Common Stock, par value
$0.001 per share
SWKHThe Nasdaq Stock Market LLC
Preferred Stock
Purchase Rights
SWKHThe 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 2.02. Results of Operations and Financial Condition.

 

Attached as Exhibit 99.1 is a copy of a press release of SWK Holdings Corporation, dated November 13, 2020, reporting SWK Holdings Corporation’s 2020 Third Quarter Financial Results. Such information, including the Exhibit attached hereto, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, except as shall be expressly set forth by specific reference in such filing.

 

Item 9.01. Financial Statements and Exhibits.

 

Exhibit No.Description
  
99.1Press Release of SWK Holdings Corporation, dated November 13, 2020, reporting SWK Holdings Corporation’s 2020 Third Quarter Financial Results

 
 

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: November 16, 2020

 
 

EXHIBIT INDEX

 

Exhibit No.Description
  
99.1Press Release of SWK Holdings Corporation, dated November 13, 2020, reporting SWK Holdings Corporation’s 2020 Third Quarter Financial Results