SWK Holdings Corp 2024年度报告

ýANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year endedDecember 31, 2024 ¨TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number:001-39184 Indicate by check mark if the Registrant is a well-known seasoned issuer as defined in Rule 405 of the Securities Act. YesoNox Indicate by check mark if the Registrant is not required to file reports pursuant to Section13 or Section15(d) of the Act. YesoNox Indicate by check mark whether the Registrant (1)has filed all reports required to be filed by Section13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12months (or for such shorter period that the registrant was required to file such reports), and (2)has been subject to such filing requirements for the past 90 days.YesxNoo Indicate by check mark whether the Registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§ 232.405of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit such files).Yesx Noo Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growthcompany. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act. Large accelerated filero Non-accelerated filerx 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 financialaccounting standards provided pursuant to Section 13(a) of the Exchange Act.o Indicate by check mark whether the Registrant has filed a report on and attestation to its management’s assessment of the effectiveness of its internal control over financialreporting under Section 404(b) of the Sarbanes-Oxley Act by the registered public accounting firm that prepared or issued its audit report. If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correctionof an error to previously issued financial statements.☐ Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’sexecutive officers during the relevant recovery period pursuant to §240.10D-1(b).☐ Indicate by check mark whether the Registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes☐Nox The aggregate market value of the common equity held by non-affiliates of the Registrant on June 28, 2024 was $56,974,759based on the June 28, 2024 closing price of theRegistrants Common Stock on such date as reported on The Nasdaq Stock Market of $16.99 per share. On March13, 2025, the Registrant had outstanding approximately12,252,816shares of Common Stock, $0.001 par value per share. DOCUMENTS INCORPORATED BY REFERENCE DOCUMENT Portions of Definitive Proxy Statement for the 2025 Annual Meeting of Shareholders to be filed no later than 120 days after the end of theRegistrant’s fiscal year ended December 31, 2024 SWK Holdings CorporationForm 10-K For the Fiscal Year Ended December 31, 2024 TABLE OF CONTENTS PARTI. Item1BusinessItem1ARisk FactorsItem1BUnresolved Staff CommentsItem 1CCybersecurityItem 2PropertiesItem 3Legal ProceedingsItem 4Mine Safety Disclosures PARTII. Item 5Market for Registrant's Common Equity, Related Stockholder Matters and Issuer Purchases of Equity SecuritiesItem 6ReservedItem 7Management’s Discussion and Analysis of Financial Condition and Results of OperationsItem 7AQuantitative and Qualitative Disclosures about Market RiskItem 8Financial Statements and Supplementary DataItem 9Changes in and Disagreements with Accountants on Accounting and Financial DisclosureItem9AControls and ProceduresItem9BOther InformationItem9CDisclosure Regarding Foreign Jurisdictions that Prevent Inspection PARTIII. Item10Directors, Executive Officers and Corporate GovernanceItem11Executive CompensationItem12Security Ownership of Certain Beneficial Owners and Management and Related Stockholder MattersItem13Certain Relationships and Related Transactions, and Director IndependenceItem14Principal Accountant Fees and Services PARTIV.Item15Item 16 PART I Special Note Regarding Forward-Looking Statements In addition to historical information, this Annual Report on Form 10-K (“Annual Report”) contains forward-looking statements withinthe meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended.From time to time, we may also provide oral or written forward-looking statements in other materials we release to th