Opaleye Management Inc.'s Form 4 filing
Eton Pharmaceuticals, Inc. (ETON) · filed Nov 5, 2021
- Accession no.
- 0001493152-21-027361
- Filed
- Nov 5, 2021
- Trade date
- Nov 3-4, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market sales total $1.31M. 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 |
|---|---|---|---|---|---|---|---|---|
| Nov 3, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −110,000 | $6.53F3 | −$718,300 | 2,705,000 | Indirect | |
| Nov 3, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −6,500 | $6.53F3 | −$42,445 | 101,500 | Indirect | |
| Nov 4, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −81,700 | $6.44F4 | −$526,148 | 2,623,300 | Indirect | |
| Nov 4, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −4,000 | $6.44F4 | −$25,760 | 97,500 | 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 $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.
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 $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.
Referenced by the price of 2 transactions in Table I.