Current Report Filing (8-k)
May 11 2023 - 6:01AM
Edgar (US Regulatory)
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2023-05-11
2023-05-11
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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 |
| (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
|
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 to this Current Report on form 8-K is a copy of
a press release of SWK Holdings Corporation, dated May 11, 2023, reporting SWK Holdings Corporation’s 2023 First 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, as amended (the “Exchange Act”), nor shall it be deemed incorporated by reference in any
filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference
in such filing.
| Item 9.01. |
Financial Statements and Exhibits. |
Signatures
Pursuant to the requirements of the Securities Exchange Act of 1934, the
registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| SWK HOLDINGS CORPORATION |
|
| |
|
|
| By: |
/s/ Joe D. Staggs |
|
| |
Joe D. Staggs |
|
| |
President and Interim Chief Executive Officer |
|
Date: May 11, 2023
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