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 31, 2016
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)) |
| Item 5.07 | Submission of Matters to a Vote of Security Holders |
SWK Holdings Corporation (the “Company”) held its 2016 annual meeting of stockholders on May 31, 2016. At the meeting, the Company’s stockholders elected Edward B. Stead as a Class II director for a term expiring in 2017. Additionally, stockholders voted to ratify the selection of Burr Pilger Mayer, Inc. as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2016. Stockholders also voted affirmatively on an advisory basis to approve the compensation to certain executives.
| 1. | Election of the Class II Director |
| Nominee | For | Withhold Authority | Broker Non-Votes |
| Edward B. Stead | 11,198,660 | 391,940 | 0 |
| 2. | Ratification of Independent Registered Public Accounting Firm |
| For | Against | Abstain | Broker Non-Votes |
| 11,589,333 | 938 | 329 | 0 |
| 3. | Executive Compensation |
| For | Against | Abstain | Broker Non-Votes |
| 11,359,498 | 78,948 | 152,154 | 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 2, 2016