8-K - SWKH - Equibles

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): November 9, 2021

SWK HOLDINGS

CORPORATION

(Exact Nameof the Registrant as Specified in Its Charter)

Delaware

(State orOther 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’sTelephone 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<br> communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o	Soliciting material<br> pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o	Pre-commencement<br> communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o	Pre-commencement communications pursuant<br> 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<br> Stock, par value <br><br>$0.001 per share	SWKH	The Nasdaq<br> Stock Market LLC
Preferred<br> Stock <br><br> Purchase Rights	SWKH	The Nasdaq<br> 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 5.02.	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(b) On November 9, 2021 and November 11, 2021, respectively, Messrs. Edward Stead and Aaron Fletcher informed the Company that they will be resigning as a director of SWK Holdings Corporation (the “Company”) no later than December 31, 2021. Mr. Stead and Dr. Fletcher have both informed the Company that they are willing to resign prior to December 31, 2021 in the event the Company’s board of directors is able to identify replacement directors prior to such time.

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/<br> Winston L. Black III
	Winston L. Black III
	Chief<br> Executive Officer

Date: November 12, 2021