0001209191-18-058316.txt : 20181113 0001209191-18-058316.hdr.sgml : 20181113 20181113171110 ACCESSION NUMBER: 0001209191-18-058316 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181109 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRYNJELSEN SEAN CENTRAL INDEX KEY: 0001669976 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38738 FILM NUMBER: 181179034 MAIL ADDRESS: STREET 1: C/O SAGENT PHARMACEUTICALS, INC. STREET 2: 1901 NORTH ROSELLE ROAD, SUITE 700 CITY: SCHAUMBURG STATE: IL ZIP: 60195 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: 12264 EL CAMINO REAL CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: 858-704-4040 MAIL ADDRESS: STREET 1: 12264 EL CAMINO REAL CITY: SAN DIEGO STATE: CA ZIP: 92130 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2018-11-09 0 0001710340 Eton Pharmaceuticals, Inc. ETON 0001669976 BRYNJELSEN SEAN 21925 W FIELD PKWY #235 DEER PARK IL 60010 1 1 0 0 President & CEO Common Stock 1000000 D Stock option (right to buy) 1.37 2027-11-09 Common Stock 200000 D Series A Convertible Preferred Stock 0.00 2017-12-08 Common Stock 23000 I by LLC 50% of the shares subject to the option vested on November 10, 2018; the remaining 50% shall vest in equal monthly installments thereafter until fully vested and exercisable on November 10, 2019. The convertible preferred stock is convertible at any time at the holder's election and automatically converts upon the consummation of a qualified public offering of the registrant. There is no expiration date for any series of preferred stock. /s/ W. Wilson Troutman, Attorney-in-fact 2018-11-09 EX-24.3_816863 2 poa.txt POA DOCUMENT POWER OF ATTORNEY Know all, by these presents, that the undersigned hereby constitutes and appoints each of W. Wilson Troutman and David Krempa, signing individually, the undersigned's true and lawful attorneys-in fact and agents to: (1) execute for and on behalf of the undersigned, an officer, director or holder of 10% of more of a registered class of securities of Eton Pharmaceuticals, Inc. (the "Company"), Forms 3, 4 and 5 in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act") and the rules thereunder; (2) do and perform any and all acts for and on behalf of the undersigned that may be necessary or desirable to complete and execute such Form 3, 4 or 5, complete and execute any amendment or amendments thereto, and timely file such forms or amendments with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any nature whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until the earliest to occur of (a) the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned's holdings of and transactions in securities issued by the Company, (b) revocation by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact or (c) as to any attorney-in-fact individually, until such attorney-in-fact shall no longer be employed by the Company. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 9th day of October, 2018. /s/ Sean E. Brynjelsen