Current Report Filing (8-k)
May 15 2020 - 06:07AM
Edgar (US Regulatory)
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 14, 2020
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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77-0435679
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(Commission File Number)
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(IRS Employer Identification No.)
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14755 Preston Road, Suite 105, Dallas, TX
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75254
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(Address of Principal Executive Offices)
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(Zip Code)
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(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:
¨
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Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
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¨
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act
(17 CFR 240.14a-12)
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¨
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Pre-commencement communications pursuant to Rule 14d-2(b) under
the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, par value $0.001 per share
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SWKH
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The Nasdaq Stock Market LLC
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Preferred Stock Purchase Rights
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SWKH
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The Nasdaq Stock Market LLC
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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 ☐
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. ☐
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 May 14, 2020, reporting SWK Holdings Corporation’s financial results for 2020 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, 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.
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Description
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99.1
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Press Release of SWK Holdings Corporation, dated May 14, 2020, reporting
SWK Holdings Corporation’s financial results for 2020 First Quarter Financial Results
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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
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By:
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/s/ WINSTON BLACK
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Winston Black
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Chief Executive Officer
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Date: May 14, 2020
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