Eton Pharmaceuticals, Inc. — Director's Dealing 2020

Oct 17, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Eton Pharmaceuticals, Inc. (ETON)
CIK: 0001710340
Period of Report: 2020-10-16

Reporting Person: Opaleye Management Inc. (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-10-16	Common Stock, par value $0.001 per share	P	385000	$7.00	Acquired	3885000	Indirect
2020-10-16	Common Stock, par value $0.001 per share	P	15000	$7.00	Acquired	155000	Indirect

Footnotes

F1: Represents securities owned directly by Opaleye, L.P. (the "Fund"). As the investment manager of the Fund, Opaleye Management Inc. may be deemed to beneficially own the securities owned directly by the Fund.

F2: Securities owned by a separately managed account (the "Managed Account"). As the portfolio manager of the Managed Account, Opaleye may be deemed to beneficially own the securities owned directly by the Managed Account.