SWK HOLDINGS CORPORATION (OTCMKTS:SWKH) Files An 8-K Submission of Matters to a Vote of Security Holders


SWK HOLDINGS CORPORATION (OTCMKTS:SWKH) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07 Submission of Matters to a Vote of Security Holders

SWK Holdings Corporation (the “Company”) held its 2018 annual meeting of stockholders on May 21, 2018. At the meeting, the Company’s stockholders elected Michael Weinberg, D. Blair Baker, Christopher W. Haga, and Edward B. Stead, to serve as directors for a term expiring in 2019. Additionally, stockholders voted to ratify the selection of BPM, LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2018. Stockholders also voted affirmatively on an advisory basis to approve the compensation to certain executives.

1.Election of Directors

Nominee For Withhold Authority Broker Non-Votes
Michael Weinberg 9,657,315 162,950 942,022
D. Blair Baker 9,659,468 160,797 942,022
Christopher W. Haga 9,658,386 161,879 942,022
Edward B. Stead 9,659,417 160,848 942,202

2.Ratification of Independent Registered Public Accounting Firm

For Against Abstain Broker Non-Votes
10,700,541 29,755 31,991

3.Executive Compensation

For Against Abstain Broker Non-Votes
9,783,680 2,977 33,608 942,202


SWK Holdings Corporation is a healthcare capital provider. The Company offers financing solutions to a range of life science companies, institutions and inventors. The Company’s focus is on monetizing cash flow streams derived from commercial-stage products and related intellectual property through royalty purchases and financings, as well as through the creation of synthetic revenue interests in commercialized products. The Company, through its subsidiary SWK Advisors LLC, provides non-discretionary investment advisory services to institutional clients in separately managed accounts to similarly invest in life science finance. It focuses to fund transactions through its own working capital, as well as by building its asset management business by raising additional third party capital to be invested alongside its capital. The Company evaluates and invests in a range of healthcare related companies and products.