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SWKH Swk

Filed: 21 Jun 21, 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): June 17, 2021

 

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
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 2021 annual meeting of stockholders on June 17, 2021. At the meeting, the Company’s stockholders elected D. Blair Baker, Winston L. Black, Aaron G.L. Fletcher, Christopher W. Haga, Marcus E. Pennington, Edward B. Stead, and Michael D. Weinberg to serve as directors for terms expiring in 2022. 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, 2021. 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

11,048,244

277,457

0

Winston L. Black

10,425,951

899,750

0

Aaron G.L. Fletcher

10,425,971

899,730

0

Christopher W. Haga

10,392,589

933,112

0

Marcus E. Pennington

11,246,219

79,482

0

Edward B. Stead

10,324,494

1,001,207

0

Michael D. Weinberg

10,212,010

1,113,691

0

 

2.

Ratification of Independent Registered Public Accounting Firm

 

For

Against

Abstain

Broker Non-Votes

11,324,712

969

20

0

 

3.

Executive Compensation

 

For

Against

Abstain

Broker Non-Votes

10,416,622

107,398

801,681

0

 

   

 

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: June 18, 2021