SEC Form 4 · accession 0001209191-18-058826
Eton Pharmaceuticals, Inc. · ETON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Sean Brynjelsen
Officer — President & CEO · Director
Period of report
Nov 15, 2018
Accepted (ET)
Nov 15, 2018 · 7:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001710340
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 15, 2018 | C | 24,940 | — | A | 24,940 | I | by LLC |
| Common Stock | Nov 15, 2018 | P | 10,000 | $6.00 | A | 1,010,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1 | — | Nov 15, 2018 | C | 23,000 | D | — | — | Common Stock | 24,940 | 0 | I |
Explanation of responses
- F1Automatic conversion, in connection with the Issuer's initial public offering, of preferred stock into shares of common stock. The shares have no expiration date.