Opaleye Management Inc.'s Form 4 filing
Eton Pharmaceuticals, Inc. (ETON) · filed Oct 13, 2021
- Accession no.
- 0001493152-21-025268
- Filed
- Oct 13, 2021
- Trade date
- Oct 8-12, 2021
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions. Open-market sales total $831.1K. It was filed 5 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 |
|---|---|---|---|---|---|---|---|---|
| Oct 8, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −41,000 | $5.00F3 | −$205,000 | 2,930,000 | Indirect | |
| Oct 8, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −2,692 | $5.00F3 | −$13,460 | 114,408 | Indirect | |
| Oct 11, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −32,500 | $5.01F4 | −$162,825 | 2,897,500 | Indirect | |
| Oct 11, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −1,601 | $5.01F4 | −$8,021.01 | 112,807 | Indirect | |
| Oct 12, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −82,500 | $5.06F5 | −$417,450 | 2,815,000 | Indirect | |
| Oct 12, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −4,807 | $5.06F5 | −$24,323.42 | 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 $5.0002. The range of sale prices on the transaction date was $5.00 to $5.0008 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 $5.0062. The range of sale prices on the transaction date was $5.00 to $5.03 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 $5.0567. The range of sale prices on the transaction date was $5.00 to $5.12 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.