David Krempa - Mar 1, 2023 Form 3 Insider Report for Eton Pharmaceuticals, Inc. (ETON)

Role
Chief Business Officer
Signature
/s/ David Krempa
Stock symbol
ETON
Transactions as of
Mar 1, 2023
Transactions value $
$0
Form type
3
Date filed
3/8/2023, 01:39 PM
Next filing
Feb 15, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding ETON Common Stock 12.8K Mar 1, 2023 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 25K $1.38 Direct F1
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 25K $1.37 Direct F2
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 95K $7.31 Direct F3
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 156K $3.58 Direct F4
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 85K $8.61 Direct F5
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 20K $5.76 Direct F6
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 158K $3.78 Direct F7
holding ETON Employee Stock Option (Right to buy) Mar 1, 2023 Common Stock 74.3K $3.47 Direct F8
holding ETON Restricted Stock Units Mar 1, 2023 Common Stock 40K $0.00 Direct F9
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Fully vested
F2 Fully vested
F3 Fully vested
F4 105,770 options vested. The remainder vest at the rate of 3,879 options/month
F5 38,958 options vested. The remainder vest at the rate of 1,771 options/month
F6 Fully vested
F7 42,864 options vested. The remainder vest at the rate of 3,297 options/month
F8 The options vest in 48 equal monthly installments.
F9 The Restricted Stock Units vest in four equal installments on July 12, 2023, 2024, 2025 and 2026

Remarks:

Exhibit List - Exhibit 24: Power of Attorney