SWK Holdings Corp 10-Q

ITEM 5. OTHER INFORMATION. None. 32 ITEM 6. EXHIBITS Filing Filed Number Exhibit Description Form Exhibit Date Herewith 10.01 Exclusive Option and Asset Purchase Agreement, by and between Enteris Biopharma, Inc., SWK Holdings Corporation and AptarGroup, Inc., dated March 13, 2024. 8-K 10.1 3/19/24 10.02† Consulting Agreement, by and between SWK Holdings Corporation and Yvette Heinrichson, dated February 14, 2024.** ☒ 31.01 Certification of Principal Executive Officer and Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. ☒ 32.01 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.* ☒ 101.INS+ XBRL Instance ☒ 101.SCH+ XBRL Taxonomy Extension Schema ☒ 101.CAL+ XBRL Taxonomy Extension Calculation ☒ 101.DEF+ XBRL Taxonomy Extension Definition ☒ 101.LAB+ XBRL Taxonomy Extension Labels ☒ 101.PRE+ XBRL Taxonomy Extension Presentation ☒ * 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. ** Management contracts and compensatory plans and arrangements required to be filed as exhibits pursuant to Item 15(b) of this report. + 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. † Certain portions of this exhibit have been redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K. The registrant agrees to furnish supplementally an unredacted copy of the exhibit to the SEC upon request. # Exhibits and/or schedules to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K. 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. 33 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 May 15, 2024. SWK Holdings Corporation By: /s/ Joe D. Staggs Joe D. Staggs Chief Executive Officer (Principal Executive Officer, Principal Financial and Accounting Officer) 34