UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): April 12, 2021

 

ETON PHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)

 

Delaware		001-38738		37-1858472
(State of incorporation)		(Commission File Number)		(I.R.S. Employer Identification No.)

 

21925 W. Field Parkway, Suite 235

Deer Park, Illinois 60010-7278

(Address of principal executive offices) (Zip code)

 

(847) 787-7361

(Registrant’s telephone number, including area code)

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

[  ]	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[  ]	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[  ]	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[  ]	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class		Trading symbol(s)		Name of each exchange on which registered
Common Stock, par value $0.001 per share		ETON		NASDAQ Global Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company [X]

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [X]

 

 

 

Item 8.01 Other Events

 

On April 12, 2021, Eton Pharmaceuticals, Inc., a Delaware corporation (“Eton” or the “Company”), announced the closing of the previously announced public offering of 1,518,000 shares (the “Shares”) of its common stock, par value $0.001 per share (“Common Stock”), by Harrow Health, Inc. (the “Selling Stockholder”) at a public offering price of $7.00 per share, including 198,000 shares of Common Stock issued pursuant to the full exercise by the underwriter, National Securities Corporation, of its over-allotment option. The gross proceeds to the Selling Stockholder from the offering were approximately $10.63 million before deducting the underwriting discount and other offering expenses paid by the Selling Stockholder. Eton did not receive any proceeds from the sale of the Shares.

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: April 13, 2021	By:	/s/ W. Wilson Troutman
		W. Wilson Troutman
		Chief Financial Officer and Secretary
		(Principal Financial Officer)