Company: SWKH
Filing Date: 2025-04-29
Form Type: DEF 14A
Source: 0001628280-25-020718
Chunk: 25

Company: SWK Holdings Corp
Filing Date: 2025-04-29
Form: DEF 14A
Chunk 25
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15.96 per share.

(2) This award vested and became exercisable pursuant to the following schedule: 3,750 option shares on each of July 1, 2017, July 1, 2018, July 1, 2019 and July 1, 2020.

(3) This award vested and became exercisable pursuant to the following schedule: 6,250 option shares on each of December 31, 2019, December 31, 2020 and December 31, 2021.

(4) This award vests in four substantially equal parts on September 1, 2022 and each of the three following anniversaries thereafter, subject to the named executive officer’s continued employment with the Company through each such date.

(5) This award vests om three substantially equal parts on March 1, 2025 and each of the two following anniversaries thereafter, subject to the named executive officer's continued employment with the Company through each such date.

(6) This award vests in four substantially equal parts on July 3, 2025 and each of the three following anniversaries thereafter, subject to the named executive officer’s continued employment with the Company through each such date.

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Securities Authorized for Issuance under Equity Compensation Plans

The following table provides information as of December 31, 2024, with respect to shares of our common stock that may be issued under our existing equity compensation plans:

|                                                         |     | -a                |     |        |     | -b                |       |     | -c               |     |         |    |
| Plan Category                                           |     | Number of         
 securities to     
 be issued upon    
 exercise of       
 outstanding       
 options, warrants 
 and rights        |     |        |     | Weighted-average  
 exercise price    
 of outstanding    
 options, warrants 
 and rights        |       |     | Number of        
 securities       
 remaining        
 available for    
 future issuance  
 under equity     
 compensation     
 plans (excluding 
 securities       
 reflected        
 in column (a))   |     |         |    |
| Equity compensation plans approved by stockholders(1)   |     |                   |     | 48,750 |     |                   | 12.78 |     |                  |     | 667,640 | -2 |
| Equity compensation plans not approved by stockholders: |     |                   |     |      — |     |                   |     — |