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Washington, D.C. 20549









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


June 14, 2022


Date of Report (Date of earliest event reported)





(Exact name of registrant as specified in its charter)


Delaware   001-38738   37-1858472

(State of




File Number)


(I.R.S. Employer

Identification Number)


21925 W. Field Parkway, Suite 235

Deer Park, Illinois 60010-7208

(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))


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


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.






Item 5.07. Submission of Matters to a Vote of Security Holders.


The 2022 Annual Meeting of Stockholders (the “Annual Meeting”) of Eton Pharmaceuticals, Inc. (the “Company”) was held on June 14, 2022 in Deer Park, Illinois. At the meeting, the Company’s stockholders (1) elected the director nominee Paul V. Maier for a three-year term and (2) ratified the appointment of KMJ Corbin & Company LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2022.


The results for each of the matters voted upon by the Company’s stockholders at the Annual Meeting were as follows:


Proposal 1: Election of Directors


Nominee  For   Against   Abstain   Broker Non-Votes 
Paul V. Maier   5,931,702    403,998    32,804    8,648,404 


Proposal 2: Ratification of the Appointment of KMJ Corbin & Company LLP as the Company’s Independent Registered Public Accounting Firm for the year ending December 31, 2022


For  Against   Abstain   Broker Non-Votes 
14,483,058   496,263    37,287    0 






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: June 14, 2022 By:  /s/ James R. Gruber
    James R. Gruber
    Chief Financial Officer and Secretary
    (Principal Financial Officer)