Item 5. Other Information
ITEM 5. OTHER INFORMATION.
None.
26
ITEM 6. EXHIBITS
Number
Exhibit Description
Filing
Filed
Form
Exhibit
Date
Herewith
3.1
Third Amended and Restated Certificate of Incorporation.
8-K
3.1
08/10/22
3.2
Amended and Restated Bylaws as of August 12, 2022.
8-K
3.2
08/10/22
10.1
Offer Letter, dated September 19, 2022, by and between the Company and Jody Staggs.
X
10.2
Separation and Release Agreement, dated August 31, 2022, by and between the Company and Winston L. Black III.
X
10.3
Fourth Amendment to Loan and Security Agreement, dated September 26, 2022, by and among SWK Holdings Corporation, SWK Funding LLC and Cadence Bank, N.A.
8-K
10.1
09/28/22
31.01
Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
31.02
Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
32.01
Certification of Chief Executive Officer pursuant to 18 U.S.C. Section 1350, adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*
X
32.02
Certification of Chief Financial Officer pursuant to 18 U.S.C. Section 1350, adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*
X
101.INS+
XBRL Instance
X
101.SCH+
XBRL Taxonomy Extension Schema
X
101.CAL+
XBRL Taxonomy Extension Calculation
X
101.DEF+
XBRL Taxonomy Extension Definition
X
101.LAB+
XBRL Taxonomy Extension Labels
X
101.PRE+
XBRL Taxonomy Extension Presentation
X
* These certifications
accompany this Quarterly Report on Form 10-Q. They are not deemed “filed” with the Securities and Exchange Commission and
are not to be incorporated by reference in any filing of SWK Holdings Corporation under the Securities Act of 1933, as amended, or the
Securities Exchange Act of 1934, as amended, whether made before or after the date hereof and irrespective of any general incorporation
language in any filings.
+ XBRL information is
furnished and not filed or a part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of
1933, as amended, is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and otherwise is
not subject to liability under these sections.
27
SIGNATURES
Pursuant to the requirements
of Section 13 or 15(d) 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, on November 9, 2022.
SWK Holdings Corporation
By:
/s/ Joe D. Staggs
Joe D. Staggs
President and Interim Chief Executive Officer
(Principal Executive Officer)
By:
/s/ Yvette M. Heinrichson
Yvette M. Heinrichson
Chief Financial Officer
(Principal Financial Officer)
28
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.