UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date
of Earliest Event Reported):
(Exact Name of the Registrant as Specified in Its Charter)
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| (Commission File Number) | (IRS Employer Identification No.) |
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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) | |
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Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
$0.001 per share |
The
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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. o
| Item 2.02 | Results of Operations and Financial Condition. |
On August 9, 2023, SWK Holdings Corporation (the “Company”) held a conference call and live audio webcast to discuss its corporate and financial results for the second quarter of 2023. An audio webcast is accessible via the Investors Events & Presentations section of the Company’s website at https://swkhold.investorroom.com/events.
A written transcript of this webcast presentation is being furnished by the Company on this Current Report on Form 8-K as Exhibit 99.1 and is incorporated by reference herein.
| Item 7.01 | Regulation FD Disclosure. |
The information included in Item 2.02 of this Current Report on Form 8-K is incorporated by reference into this Item 7.01.
The information furnished in Item 2.02 and this Item 7.01, including Exhibit 99.1, 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. |
| Exhibit No. | Description
|
| 99.1 | Transcript of Webcast presentation held on August 9, 2023. |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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: August 11, 2023