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 22, 2017

 

SWK HOLDINGS CORPORATION 

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

 

Delaware

(State or Other Jurisdiction of Incorporation)

 

000-27163 77-0435679
(Commission File Number) (IRS Employer Identification No.)
   
14750 Dallas Parkway, 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:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

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

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

 

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 5.07   Submission of Matters to a Vote of Security Holders

 

SWK Holdings Corporation (the “Company”) held its 2017 annual meeting of stockholders on May 22, 2017. At the meeting, the Company’s stockholders elected D. Blair Baker, Christopher W. Haga, and Edward B. Stead, to serve as directors for a term expiring in 2018. 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, 2017. 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   9,243,555     1,270,918     943,988  
Christopher W. Haga   9,242,573     1,271,900     943,988  
Edward B. Stead   10,294,719     219,754     943,988  

 

  2. Ratification of Independent Registered Public Accounting Firm

 

For   Against   Abstain   Broker Non-Votes
11,401,021     54,343     3,097     0  

  

  3. Executive Compensation

 

For   Against   Abstain   Broker Non-Votes
10,269,022     7,559     237,892     943,988  

  

 

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 26, 2017