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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

 

June 13, 2023

 

Date of Report (Date of earliest event reported)

 

 

 

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 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 2023 Annual Meeting of Stockholders (the “Annual Meeting”) of Eton Pharmaceuticals, Inc. (the “Company”) was held on June 13, 2023 in Deer Park, Illinois. At the meeting, the Company’s stockholders (1) elected the director nominees Jenn Adams and Charles J. Casamento 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, 2023.

 

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 
Jenn Adams   11,008,471    393,816    3,567    6,787,111 
Charles J. Casamento   10,808,753    594,949    2,152    6,787,111 

 

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, 2023

 

For   Against   Abstain   Broker Non-Votes 
 18,092,275    63,090    37,600    0 

 

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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: June 13, 2023 By: /s/ James R. Gruber
    James R. Gruber
    Chief Financial Officer and Secretary
    (Principal Financial Officer)

 

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