0001493152-21-025268.txt : 20211013
0001493152-21-025268.hdr.sgml : 20211013
20211013075754
ACCESSION NUMBER: 0001493152-21-025268
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211008
FILED AS OF DATE: 20211013
DATE AS OF CHANGE: 20211013
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: 211320185
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
2021-10-08
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
2021-10-08
4
S
0
41000
5.0002
D
2930000
I
By Opaleye, L.P.
Common Stock, par value $0.001 per share
2021-10-08
4
S
0
2692
5.0002
D
114408
I
By Managed Account
Common Stock, par value $0.001 per share
2021-10-11
4
S
0
32500
5.0062
D
2897500
I
By Opaleye, L.P.
Common Stock, par value $0.001 per share
2021-10-11
4
S
0
1601
5.0062
D
112807
I
By Managed Account
Common Stock, par value $0.001 per share
2021-10-12
4
S
0
82500
5.0567
D
2815000
I
By Opaleye, L.P.
Common Stock, par value $0.001 per share
2021-10-12
4
S
0
4807
5.0567
D
117100
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 $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.
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.
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.
Opaleye Management Inc., By: /s/ James Silverman, President
2021-10-12