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Eton Pharmaceuticals, Inc. — Director's Dealing 2021
Nov 5, 2021
32663_dirs_2021-11-05_87f64467-2dad-4f39-b3a3-2c48f6346e16.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Eton Pharmaceuticals, Inc. (ETON)
CIK: 0001710340
Period of Report: 2021-11-03
Reporting Person: Opaleye Management Inc. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-11-03 | Common Stock, par value $0.001 per share | S | 110000 | $6.5309 | Disposed | 2705000 | Indirect |
| 2021-11-03 | Common Stock, par value $0.001 per share | S | 6500 | $6.5309 | Disposed | 101500 | Indirect |
| 2021-11-04 | Common Stock, par value $0.001 per share | S | 81700 | $6.437 | Disposed | 2623300 | Indirect |
| 2021-11-04 | Common Stock, par value $0.001 per share | S | 4000 | $6.437 | Disposed | 97500 | 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 Management Inc. may be deemed to beneficially own the securities owned directly by the Managed Account.
F3: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $6.5309. The range of sale prices on the transaction date was $6.41 to $6.75 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.
F4: The common stock was sold by the reporting person in open market transactions on the transaction date, with a volume weighted average sale price of $6.437. The range of sale prices on the transaction date was $6.30 to $6.59 per share. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each price.