Opaleye Management Inc.'s Form 4 filing
Eton Pharmaceuticals, Inc. (ETON) · filed Nov 9, 2021
- Accession no.
- 0001493152-21-027679
- Filed
- Nov 9, 2021
- Trade date
- Nov 5-8, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 4 non-derivative transactions. Open-market sales total $1.38M. It was filed 4 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 5, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −159,300 | $6.30F3 | −$1,003,590 | 2,464,000 | Indirect | |
| Nov 5, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −8,401 | $6.30F3 | −$52,926.3 | 89,099 | Indirect | |
| Nov 8, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −50,000 | $6.10F4 | −$305,000 | 2,414,000 | Indirect | |
| Nov 8, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −2,661 | $6.10F4 | −$16,232.1 | 86,438 | 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
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.
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 $6.101. The range of sale prices on the transaction date was $6.04 to $6.55 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.