0001552781-20-000109.txt : 20200122 0001552781-20-000109.hdr.sgml : 20200122 20200122172726 ACCESSION NUMBER: 0001552781-20-000109 CONFORMED SUBMISSION TYPE: 8-A12B/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20200122 DATE AS OF CHANGE: 20200122 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-A12B/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-39184 FILM NUMBER: 20539685 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 8-A12B/A 1 e20051_swkh-8a12ba.htm

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-A/A

(Amendment No. 1) 

 

FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES

PURSUANT TO SECTION 12(b) OR 12(g) OF THE

SECURITIES EXCHANGE ACT OF 1934

 

 

SWK HOLDINGS CORPORATION

(Exact Name of Registrant as Specified in Its Charter)

 

     
Delaware   77-0435679
(State of Incorporation or Organization)   (IRS Employer Identification No.)

 

     
14755 Preston Road, Suite 105, Dallas, TX   75254
(Address of Principal Executive Offices)   (Zip Code)

 

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

 

         

Title Of Each Class

To Be So Registered

      

Name Of Each Exchange On Which

Each Class Is To Be Registered

Common Stock, $0.001 par value       The Nasdaq Stock Market LLC
Preferred Stock Purchase Rights       The Nasdaq Stock Market LLC

 

If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. x

 

If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. ¨

 

If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. ¨

 

Securities Act registration statement or Regulation A offering statement file number to which this form relates: Not Applicable

 

Securities to be registered pursuant to Section 12(g) of the Act: None

 

  

   

 

Explanatory Note

 

This Form 8-A/A (Amendment No. 1) is being filed by SWK Holdings Corporation (the “Registrant”) to amend and restate in its entirety the Registrant’s Registration Statement on Form 8-A filed with the Securities and Exchange Commission on January 21, 2020.

 

INFORMATION REQUIRED IN REGISTRATION STATEMENT

 

Item 1. Description of Registrant’s Securities to be Registered.

 

Common Stock, $0.001 par value

 

The description of the Registrant’s common stock, par value $0.001 per share, under the section captioned “Description of Capital Stock” in the prospectus included in the Registrant’s registration statement on Form S-1 (File No. 333-193942) (the “Registration Statement”), initially filed with the Securities and Exchange Commission on February 13, 2014, as subsequently amended by any amendments to such Registration Statement and by any form of prospectus filed pursuant to Rule 424(b) under the Securities Act of 1933, as amended, in connection with such Registration Statement, is incorporated herein by reference.

 

Preferred Stock Purchase Rights

The description of the Registrant’s preferred stock purchase rights in the Registrant’s registration statement on Form 8-A (the “Purchase Rights Registration Statement”), filed with the Securities and Exchange Commission on April 18, 2016, as subsequently amended by any amendments to such Purchase Rights Registration Statement, is incorporated herein by reference.

Item 2. Exhibits.

 

In accordance with the Instructions as to Exhibits with respect to Form 8-A, no exhibits are required to be filed because no other securities of the Registrant are registered on The Nasdaq Stock Market LLC and the securities registered hereby are not being registered pursuant to Section 12(g) of the Exchange Act. 

 

 

   

 

SIGNATURES

 

Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the Registrant has duly caused this registration statement to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Date: January 22, 2020

 

     
SWK Holdings Corporation
   
By:   /s/ Winston Black
    Winston Black
    Chief Executive Officer