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Delaware
(State or other jurisdiction
of incorporation or organization) |
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5699
(Primary Standard Industrial
Classification Code Number) |
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46-1942864
(I.R.S. Employer
Identification Number) |
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Large accelerated filer
☐
|
| |
Accelerated filer
☐
|
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Non-accelerated filer
☒
|
| |
Smaller reporting company
☒
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| | | |
Emerging growth company
☒
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Fee
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Total
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SEC registration fee
|
| | | $ | 18,540 | | |
FINRA filing fee
|
| | | | * | | |
Nasdaq listing fee
|
| | | | * | | |
Printing
|
| | | | * | | |
Legal fees and expenses
|
| | | | * | | |
Accounting fees and expenses
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| | | | * | | |
Transfer agent and registrar fees
|
| | | | * | | |
Miscellaneous
|
| | | | * | | |
Total
|
| | | $ | 18,540* | | |
Exhibit
Number |
| |
Description
|
| |||
| | 4.6* | | | | Form of Warrant Agreement (including Warrant Certificate) | |
| | 4.7* | | | | Form of Units Warrant Agreement (including Warrant Certificate) | |
| | 4.8* | | | | Form of Debt Securities Warrant Agreement (including Warrant Certificate) | |
| | 4.9 | | | | | |
| | 4.10 | | | | | |
| | 4.11 | | | | | |
| | 4.12 | | | | | |
| | 4.13 | | | | | |
| | 4.14* | | | | Form of Preferred Stock Certificate | |
| | 4.15 | | | | | |
| | 4.16 | | | | | |
| | 4.17* | | | | Form of Debt Indenture | |
| | 4.18* | | | | Form of supplemental indenture or other instrument establishing the issuance of one or more series of debt securities (including the form of such debt security). | |
| | 4.19* | | | | Form of Unit Agreement and Unit Certificate. | |
| | 4.20 | | | | | |
| | 4.21 | | | | | |
| | 4.22 | | | | | |
| | 4.23 | | | | | |
| | 4.24* | | | | Form of Rights Agreement (including Form of Rights Certificate) | |
| | 5.1 | | | | | |
| | 23.1 | | | | | |
| | 23.2 | | | | | |
| | 23.3 | | | | | |
| | 23.4 | | | | | |
| | 23.5 | | | | |
Exhibit
Number |
| |
Description
|
| |||
| | 23.6 | | | | | |
| | 24.1 | | | | | |
| | 25.1** | | | | Statement of Eligibility of Trustee under the Debt Indenture | |
| | 107 | | | | |
| | | | SWK HOLDINGS CORPORATION | | |||
| | | | By: | | |
/s/ John Hilburn Davis IV
John Hilburn Davis IV
Chief Executive Officer |
|
|
Signature
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Title
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Date
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/s/ John Hilburn Davis IV
John Hilburn Davis IV
|
| |
Chairman and Chief Executive Officer
(Principal Executive Officer) |
| |
August 3, 2022
|
|
|
/s/ Reid Yeoman
Reid Yeoman
|
| |
Chief Financial Officer
(Principal Accounting and Financial Officer) |
| |
August 3, 2022
|
|
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/s/ Mark T. Lynn
Mark T. Lynn
|
| |
Director
|
| |
August 3, 2022
|
|
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/s/ Trevor Pettennude
Trevor Pettennude
|
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Director
|
| |
August 3, 2022
|
|
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/s/ Jameeka Aaron Green
Jameeka Aaron Green
|
| |
Director
|
| |
August 3, 2022
|
|
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/s/ Huong “Lucy” Doan
Huong “Lucy” Doan
|
| |
Director
|
| |
August 3, 2022
|
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