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 | ||
