Investor FAQs

Where is SWK Holdings Corporation headquartered?

Our headquarters are located at 14755 Preston Road, Suite 105, Dallas, TX 75254. The main office phone number is (972) 687-7250.

On which stock exchange are SWK shares traded and what is the ticker symbol? CUSIP number?

Our common stock is traded on the NASDAQ Capital Market under the symbol SWKH. Our CUSIP number is 78501P203.

How many shares are issued and outstanding?

Please refer to our latest SEC filings, which are available at swkhold.investorroom.com/sec-filings and www.sec.gov for available share information.

When is SWK’s fiscal year end?

SWK’s fiscal year end is December 31st.

Who is SWK’s transfer agent? How do I contact them?

Computershare
462 South 4th Street
Suite 1600
Louisville, KY 40202
(800) 962-4284

Who are SWK’s outside legal counsel and independent auditors?

Outside Legal Counsel: Gray Reed (1601 Elm St #4600, Dallas, TX 75201, 214-954-4135)
Auditors: BPM LLP

Where can I find SWK’s SEC filings? Where can I access quarterly and annual reports?

Quarterly and annual reports, as well as other SEC filings, can be accessed on the Financial Information section of our Investor Relations webpage or directly from the SEC at www.sec.gov.

When was the company incorporated and in which state?

SWK Holdings Corporation was incorporated in July 1996 in California and reincorporated in Delaware in September 1999. In July 2012, the Company commenced its life science focused specialty finance business. In August 2019, the Company commenced a complementary strategy of building a pharmaceutical development, manufacturing and intellectual property licensing business with the acquisition of Enteris BioPharma, Inc..

Who handles investor relations for SWK? How do I get an SWK investor kit?

Tiberend Strategic Advisors is SWK’s investor relations firm. For additional information, please contact:

Maureen McEnroe
Tiberend Strategic Advisors, Inc.
(212) 375-2664
mmcenroe@tiberend.com

Who are SWK’s officers and directors?

SWK’s officers and directors can be found in the “About SWK” section of our website.