What changed in this filing

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Item 5. Other Information

2024-05-15 compared with 2023-11-08 · 27 added, 21 removed, 9 unchanged (84% of the section changed)

Indenture dated as of October 3, 2023, between the Company and Wilmington Trust, National Association, as trustee.

First Supplemental Indenture dated as of October 3, 2023, between the Company and Wilmington Trust, National Association, as trustee.

Form of 9.00% Senior Notes due 2027 (included as Exhibit A to 4.2 above)

First Amendment to Credit Agreement dated October 10, 2023 by and among the Company, SWK Funding LLC, the financial institutions party thereto and First Horizon Bank as a Lender and Agent.

Certification of Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Certification of Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

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.*

Certification of Chief Financial Officer pursuant to 18 U.S.C.

Exclusive Option and Asset Purchase Agreement, by and between Enteris Biopharma, Inc., SWK Holdings Corporation and AptarGroup, Inc., dated March 13, 2024.

Consulting Agreement, by and between SWK Holdings Corporation and Yvette Heinrichson, dated February 14, 2024.**

Certification of Principal Executive Officer and Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C.

Section 1350, adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*

5 unchanged sentences

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.

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.

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 8, 2023.

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.

** Management

contracts and compensatory plans and arrangements required to be filed as exhibits pursuant

to Item 15(b) of this report.

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.

portions of this exhibit have been redacted pursuant to Item 601(b)(10)(iv) of Regulation

The registrant agrees to furnish supplementally an unredacted copy of the exhibit to

the SEC upon request.

and/or schedules to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation

The registrant agrees to furnish supplementally copies of any omitted exhibits or schedules

to the SEC upon request;

provided, however, that the registrant may request confidential

treatment pursuant to Rule 24b-2 of the Exchange Act for any exhibits or schedules so furnished.

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 May 15, 2024.

Holdings Corporation

and Chief Executive Officer

Executive Officer

Financial Officer

Financial Officer)

Executive Officer, Principal Financial and Accounting Officer)

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information