8-K - SWKHL - 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): July 13,2022

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 7.01. Regulation FD Disclosure.

On July 13, 2022, SWK Holdings Corporation (the “Company”) issued a press release commemorating the ten-year anniversary of the commencement of its specialty finance business strategy.

By filing this Current Report on Form 8-K and furnishing the information contained herein, the Company makes no admission as to the materiality of any information in this report that is required to be disclosed solely by reason of Regulation FD.

The information presented in Item 7.01 of this Current Report on Form 8-K and Exhibit 99.1 shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, unless the Company specifically states that the information is to be considered “filed” under the Exchange Act or specifically incorporates it by reference into a filing under the Securities Act of 1933, as amended, or the Exchange Act.

Item 9.01(d). Financial Statements and Exhibits.

See Exhibit Index immediately following the signature page

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: July 13, 2022

EXHIBIT INDEX

Exhibit No.	Description
99.1	Press Release of SWK Holdings Corporation, dated July 13, 2022, Marking the 10^th^ Anniversary of the Commencement of its Specialty Finance Business Strategy

SWK Holdings Corporation Marks 10^th^Anniversary, Celebrating Growth and Progress

Since 2012, SWK Holdings has completed financingswith 46 life sciences companies, deploying $650 million of capital

Second Quarter 2022 Financial Resultsto be Announced in August

DALLAS, July 13, 2022 -- SWK Holdings Corporation (Nasdaq: SWKH), a life science-focused specialty finance company catering to small-and mid-sized commercial-stage companies, announced today the celebration of the 10^th^ anniversary under its current business strategy. Since the commencement of this strategy in 2012, SWK has deployed $650 million in capital to support growth opportunities for small and mid-sized life sciences companies through the creation of unique financing structures. These deals include structured debt, traditional royalty monetization, synthetic royalty transactions, and asset purchases, and typically range in size from $5.0 million to $25.0 million, a market segment often ignored by other structured finance companies.

“This is a time of celebration for SWK as we mark our 10th year as a partner-of-choice for small-to-mid-sized life sciences companies seeking non-dilutive financing to fuel the development and commercialization of life-saving and life-enhancing technologies,” said Winston Black, Chairman and CEO of SWK Holdings. “I am proud of the results the SWK team has delivered. We started off in May of 2012 with a public shell that had no operating business and $38 million of assets as of March 31, 2012. Since then, we have grown our vision into a premier life science specialty finance platform with $286 million of assets as of March 31, 2022. SWK has provided consistent returns on our investments and to our shareholders with our book value per share increasing at a 10% compound annual growth rate from the fourth quarter of 2012 to $21.10 through the first quarter of 2022. This performance is a testament to both our focus on a market segment that is often overlooked by larger specialty financing companies and our ability to identify opportunities to which our investment vehicles are well-suited and where positive returns are likeliest to be achieved.”

Mr. Black continued, “As we reflect on our successes during our first 10 years, we believe our near-term and longer-range growth prospects are robust. Leveraging support and insights from our new Board of Directors, in May of this year, SWK filed a $200 million mixed securities shelf registration statement as part of our strategy to expand our capital base and re-instituted a stock repurchase program. Recently, SWK was added to the Russell 2000, 3000 and Microcap Indexes, which should serve to attract additional investor attention and maintain the positive momentum that we’ve witnessed in SWK’s stock since our uplist to Nasdaq in 2020. Additionally, our work with Enteris BioPharma, which SWK acquired in 2019, continues to advance as the company partners with pharmaceutical companies to develop orally delivered peptides and small molecules, advance its product pipeline, and maximize its state-of-the-art manufacturing facility, which was significantly expanded in 2021.”

Mr. Black concluded, “As we look ahead, SWK is focused on the pursuit of compelling opportunities with an eye towards selectively funding high quality assets positioned to weather the current capital market drought. Since our launch of the current business strategy, we have experienced a variety of market conditions, including the unprecedented turbulence caused by COVID-19. Through it all, SWK has been able to produce consistent returns because we remain steadfast to our business strategy and our focus on providing creative, non-dilutive financing to small and mid-sized life sciences companies.”

About SWK Holdings Corporation

SWK Holdings Corporation is a specialized finance company with a focus on the global healthcare sector. SWK partners with ethical product marketers and royalty holders to provide flexible financing solutions at an attractive cost of capital to create long-term value for both SWK's business partners and its investors. SWK believes its financing structures achieve an optimal partnership for companies, institutions and inventors seeking capital for expansion or capital and estate planning by allowing its partners to monetize future cash flow with minimal dilution to their equity stakes. SWK also owns Enteris BioPharma, whose Peptelligence® and ProPerma™ drug delivery technologies create oral formulations of peptide-based and BCS class II, III, and IV small molecules. With Enteris, SWK has the opportunity to grow its finance business by actively building a wholly-owned portfolio of milestones and royalties through licensing activities. Additional information on the life science finance market is available on the Company's website at www.swkhold.com.

Safe Harbor Statement

This press release contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Statements including words such as "believes," "expects," "anticipates," "intends," "exploring," "estimates," "plan," "will," "may," "look forward," "intend," "guidance," "future" or similar expressions are forward-looking statements. Because these statements reflect SWK's current views, expectations and beliefs concerning future events, these forward-looking statements involve risks and uncertainties. Investors should note that many factors, as more fully described under the caption "Risk Factors" and elsewhere in SWK's Form 10-K, Form 10-Q and Form 8-K filings with the Securities and Exchange Commission and as otherwise enumerated herein, could affect the Company's future financial results and could cause actual results to differ materially from those expressed in such forward-looking statements. The forward-looking statements in this press release are qualified by these risk factors. These are factors that, individually or in the aggregate, could cause the Company's actual results to differ materially from expected and historical results. You should not place undue reliance on any forward-looking statements, which speak only as of the date they are made. We assume no obligation to publicly update any forward-looking statements, whether as a result of new information, future developments or otherwise.

For more information, please contact:

Tiberend Strategic Advisors, Inc.

Jason Rando/Bill Borden (Media)

jrando@tiberend.com, bborden@tiberend.com

Daniel Kontoh-Boateng (Investors)

dboateng@tiberend.com