# EDGAR Filing Document

**Accession Number:** 0001089907
**File Stem:** 0001552781-23-000097
**Filing Date:** 2023-3
**Character Count:** 5017
**Document Hash:** 16e42909cdb3f89c02c4ea2c9fdb7223
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001552781-23-000097.hdr.sgml**: 20230313

**ACCESSION NUMBER**: 0001552781-23-000097

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230313

**ITEM INFORMATION**: Regulation FD Disclosure

**FILED AS OF DATE**: 20230313

**DATE AS OF CHANGE**: 20230313

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SWK Holdings Corp
- **CENTRAL INDEX KEY:** 0001089907
- **STANDARD INDUSTRIAL CLASSIFICATION:** MISCELLANEOUS BUSINESS CREDIT INSTITUTION [6159]
- **IRS NUMBER:** 770435679
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39184
- **FILM NUMBER:** 23725914

**BUSINESS ADDRESS:**
- **STREET 1:** 14755 PRESTON ROAD
- **STREET 2:** SUITE 105
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75254
- **BUSINESS PHONE:** (972) 687-7250

**MAIL ADDRESS:**
- **STREET 1:** 14755 PRESTON ROAD
- **STREET 2:** SUITE 105
- **CITY:** DALLAS
- **STATE:** TX
- **ZIP:** 75254

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** KANA SOFTWARE INC
- **DATE OF NAME CHANGE:** 20011114

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** KANA COMMUNICATIONS INC
- **DATE OF NAME CHANGE:** 19990702

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934**

**Date of Report (Date of Earliest Event Reported): March 13, 2023**

**SWK HOLDINGS CORPORATION**

**(Exact Name of the Registrant as Specified in Its Charter)**

**Delaware**

**(State or Other Jurisdiction of Incorporation)**

---

| | |
|:---|:---|
| **001-39184** | **77-0435679** |
| **(Commission File Number)** | **(IRS Employer Identification No.)** |
| **14755 Preston Road, Suite 105, Dallas, TX** | **75254** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

---

**(972) 687-7250**

**(Registrant's Telephone Number, Including Area Code)**

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

□ Written
 communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

□ Soliciting material
 pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

□ Pre-commencement
 communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

□ Pre-commencement communications pursuant
 to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;**Title of each class** | &nbsp;&nbsp;**Trading Symbol(s)** | &nbsp;&nbsp;**Name of each exchange on <br> which registered** |
| &nbsp;&nbsp;Common Stock, par value <br> $0.001 per share | &nbsp;&nbsp;SWKH | &nbsp;&nbsp;The Nasdaq Stock Market LLC<br>|

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Emerging growth company □

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. □

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| | |
|:---|:---|
| **Item 7.01** | **Regulation FD Disclosure.** |

---

SWK Holdings Corporation (the "Company") is aware that Silicon Valley Bank ("SVB") was closed on March 10, 2023 by the California Department of Financial Protection and Innovation, which appointed the Federal Deposit Insurance Corporation as receiver. The Company does not have direct exposure to SVB. The Company does not hold cash deposits or securities with SVB, and does not otherwise have a business relationship with SVB. In addition, the Company is not party to any debt financing arrangement in which SVB is an agent, co-lender, or a participant.

The information in this Current Report on Form 8-K shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), nor shall it be deemed "incorporated by reference" into any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as may be expressly set forth by specific reference in such filing.

**Signatures**

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

---

| | |
|:---|:---|
| SWK HOLDINGS CORPORATION | SWK HOLDINGS CORPORATION |
| By: | /s/ Jody Staggs |
|  | Jody Staggs |
|  | President and Chief Executive Officer |

---

Dated: March 13, 2023