SWKH receives Nasdaq delisting notice for board independence; appoints Laurie Dotter to board

SWK Holdings Corp

Nasdaq notified SWKH on Feb 4, 2022 of non-compliance with independent director and committee rules due to resignations of five directors.
Nasdaq shortened compliance plan submission deadline to Feb 16, 2022; company intends to submit a plan to regain compliance.
Board appointed Laurie Dotter as independent director on Feb 9, 2022; she joins the Governance Committee.
Dotter has executive leadership in real estate investment firms and prior board experience; her appointment is part of compliance efforts.

item 3.01 item 5.02

Executive movements

Machine-extracted from this filing. Every card cites the SEC source. See all recent executive movements.

Appointed

Laurie Dotter

Director

SWKHL · SWK Holdings Corp

Effective: 2022-02-09
Filed: February 10, 2022, 6:59 PM ET

On February 9, 2022, the Board appointed Laurie Dotter, effective immediately, to serve as a member of the Board for a term expiring at the Company’s 2022 annual meeting of stockholders.

Key facts

Extracted from this filing and checked against the source text.

Executive change SEC 8-K Item 5.02 confidence 0.95

Laurie Dotter was appointed as Director at SWK Holdings Corp.

Action: appointed
Role: Director

Exact text from the filing

On February 9, 2022, the Board appointed Laurie Dotter, effective immediately, to serve as a member of the Board for a term expiring at the Company’s 2022 annual meeting of stockholders.

View on SEC.gov

SWK Holdings Corp filing history →

Source: SEC EDGAR

accession 0001552781-22-000146

view filing index on sec.gov

view primary document

Machine-readable: JSON · Markdown · Plain text

This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice. See methodology for how this pipeline works.