UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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Item 5.07 Submission of Matters to a Vote of Security Holders.
On June 14, 2024, SWK Holdings Corporation (the “Company”) held its 2024 Annual Meeting of Stockholders (the “Annual Meeting”) virtually. The following is a brief description of the final voting results for each of the proposals submitted to a vote of the stockholders at the Annual Meeting, which are described in detail in the Company’s definitive proxy statement for the Annual Meeting, filed with the U.S. Securities and Exchange Commission on April 26, 2024.
Proposal 1 – Election of Directors. Each of Jerry Albright, Laurie L. Dotter, Robert K. Hatcher and Marcus Pennington were elected to the Board of Directors, by a plurality of votes, to serve until the Company’s 2025 Annual Meeting of Stockholders and until their respective successors have been elected and qualified, or their earlier resignation, death or removal, with the voting results being as follows:
| Nominee | For | Withhold Authority | Broker Non-Votes | |||||||||
| Jerry Albright | 11,522,824 | 300,871 | 293,428 | |||||||||
| Laurie L. Dotter | 11,680,346 | 143,349 | 293,428 | |||||||||
| Robert K. Hatcher | 10,783,134 | 1,040,561 | 293,428 | |||||||||
| Marcus E. Pennington | 11,509,490 | 314,205 | 293,428 | |||||||||
Proposal 2 – Ratification of Independent Registered Public Accountants. The appointment of BPM LLP as the Company’s independent registered public accounting firm for the 2024 fiscal year was ratified, as follows:
| For | Against | Abstain | |||
| 11,404,747 | 708,281 | 4,095 |
Proposal 3 – Approval, on an advisory basis, of the compensation paid to certain executive officers. The stockholders approved, on an advisory basis, the compensation paid to certain executive officers, as follows:
| For | Against | Abstain | Broker Non-Votes | ||||
| 11,081,191 | 739,774 | 2,730 | 293,428 |
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 | ||
| Chief Executive Officer | ||
Date: June 17, 2024