SUBSCRIPTION AGENT AGREEMENTSubscription Agent Agreement • April 23rd, 2014 • SWK Holdings Corp • Miscellaneous business credit institution • Massachusetts
This Subscription Agent Agreement (the “Agreement”) is made as of April 7, 2014,by and among SWK Holdings Corporation, (the ” Company”), a Delaware corporation, Computershare Inc., a Delaware corporation and its wholly-owned subsidiary Computershare Trust Company, N.A., a national banking association (collectively, the “Agent” or individually “Computershare” and the “Trust Company”, respectively). All terms not defined herein shall have the meaning given in the prospectus (the “Prospectus”) included in the Registration Statement on Form S-1, File No. 1. 333-193942 filed by the Company with the Securities and Exchange Commission on February 13, 2014, as amended by any amendment filed with respect thereto (the “Registration Statement”).
April 15, 2014Letter of Agreement • April 23rd, 2014 • SWK Holdings Corp • Miscellaneous business credit institution • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson Inc. (“Georgeson”) by SWK Holdings Corporation (the “Company”) to act as Information Agent in connection with the Company’s rights offering for its common Stock(the “Offer”). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
