Company: SWKH
Filing Date: 2025-06-16
Form Type: 8-K
Source: 0001628280-25-031621
Chunk: 1

Company: SWK Holdings Corp
Filing Date: 2025-06-16
Form: 8-K
Item: Item 5.07
Chunk 1
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Item 5.07 Submission of Matters to a Vote of Security Holders.

On June 13, 2025, the Company held its Annual Meeting virtually. The following is a brief description of the final voting results for each of the proposals submitted to a vote of the stockholders at the Annual Meeting, which are described in detail in the Proxy Statement.

Proposal 1 - Election of Directors. Each of Jerry Albright, Laurie L. Dotter and Robert K. Hatcher were elected to the Board of Directors, by a plurality of votes, to serve until the Company’s 2026 Annual Meeting of Stockholders and until their respective successors have been elected and qualified, or their earlier resignation, death or removal, with the voting results being as follows:

  Nominee                       For      Withhold Authority      Broker Non-Votes  
 ───────────────────────────────────────────────────────────────────────────────────
  Jerry Albright         10,463,066                 433,245               385,315  
  Laurie L. Dotter       10,474,781                 421,530               385,315  
  Robert K. Hatcher      10,488,381                 407,930               385,315  

Proposal 2 - Ratification of Independent Registered Public Accountants. The appointment of BPM LLP as the Company’s independent registered public accounting firm for the 2025 fiscal year was ratified, as follows:

         For      Against      Abstain  
 ────────────────────────────────────────
  11,226,987       54,500          139  

Proposal 3 - Approval, on an advisory basis, of the compensation paid to certain executive officers. The stockholders approved, on an advisory basis, the compensation paid to certain executive officers, as follows:

         For      Against      Abstain      Broker Non-Votes  
 ──────────────────────────────────────────────────────────────
  10,385,696      420,203       90,412               385,315  

Proposal 4 - Approval of an amendment to the Company’s 2010 Equity Incentive Plan, as amended. The stockholders approved an amendment to the Company’s 2010 Equity Incentive Plan as follows:

        For        Against      Abstain      Broker Non-Votes  
 ───────────────────────────────────────────────────────────────
  9,696,192      1,163,714       36,405               385,315