Opaleye Management Inc.'s Form 4 filing
Eton Pharmaceuticals, Inc.ETON · filed Aug 6, 2021
- Accession no.
- 0001493152-21-018955
- Filed
- Aug 6, 2021
- Trade date
- Aug 4-6, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market sales total $3.52M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Opaleye Management Inc.CIK 0001595855 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 4, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −100,000 | $5.75F3 | −$575,000 | 3,451,100 | Indirect | |
| Aug 4, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −4,000 | $5.75F3 | −$23,000 | 137,600 | Indirect | |
| Aug 5, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −150,000 | $5.85F4 | −$877,500 | 3,301,100 | Indirect | |
| Aug 5, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −5,500 | $5.85F4 | −$32,175 | 132,100 | Indirect | |
| Aug 6, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −330,000 | $5.84F5 | −$1,927,200 | 2,971,100 | Indirect | |
| Aug 6, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −15,000 | $5.84F5 | −$87,600 | 117,100 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- 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 $5.7514. The range of sale prices on the transaction date was $5.60 to $5.98 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.
Referenced by the price of 2 transactions in Table I.
- 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 $5.8532. The range of sale prices on the transaction date was $5.53 to $6.04 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.
Referenced by the price of 2 transactions in Table I.
- F5
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 $5.8402. The range of sale prices on the transaction date was $5.65 to $6.3750 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.
Referenced by the price of 2 transactions in Table I.