0001493152-21-029119.txt : 20211117 0001493152-21-029119.hdr.sgml : 20211117 20211117163319 ACCESSION NUMBER: 0001493152-21-029119 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211115 FILED AS OF DATE: 20211117 DATE AS OF CHANGE: 20211117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Opaleye Management Inc. CENTRAL INDEX KEY: 0001595855 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38738 FILM NUMBER: 211420995 BUSINESS ADDRESS: STREET 1: ONE BOSTON PLACE STREET 2: SUITE 2600 CITY: BOSTON STATE: MA ZIP: 02108 BUSINESS PHONE: 617-904-9195 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE STREET 2: SUITE 2600 CITY: BOSTON STATE: MA ZIP: 02108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Eton Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001710340 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 371858472 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21925 W. FIELD PARKWAY STREET 2: SUITE 235 CITY: DEER PARK STATE: IL ZIP: 60010-7278 BUSINESS PHONE: (847) 787-7361 MAIL ADDRESS: STREET 1: 21925 W. FIELD PARKWAY STREET 2: SUITE 235 CITY: DEER PARK STATE: IL ZIP: 60010-7278 4 1 ownership.xml X0306 4 2021-11-15 0 0001710340 Eton Pharmaceuticals, Inc. ETON 0001595855 Opaleye Management Inc. ONE BOSTON PLACE, 26TH FLOOR BOSTON MA 02108 0 0 1 0 Common Stock, par value $0.001 per share 2021-11-15 4 S 0 2500 4.8016 D 2411500 I By Opaleye, L.P. Common Stock, par value $0.001 per share 2021-11-15 4 S 0 500 4.8016 D 85938 I By Managed Account Common Stock, par value $0.001 per share 2021-11-16 4 S 0 11500 4.8619 D 2400000 I By Opaleye, L.P. Common Stock, par value $0.001 per share 2021-11-16 4 S 0 938 4.8619 D 85000 I By Managed Account 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. 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. 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 $4.8016. The range of sale prices on the transaction date was $4.80 to $4.85 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. 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 $4.8619. The range of sale prices on the transaction date was $4.85 to $4.88 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. Opaleye Management Inc., By: /s/ James Silverman, President 2021-11-17