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
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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:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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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 2024 Annual Meeting of Stockholders (the “Annual Meeting”) of Eton Pharmaceuticals, Inc. (the “Company”) was held virtually on June 11, 2024. At the meeting, the Company’s stockholders (1) elected the director nominees Norbert G. Riedel and Sean E. Brynjelsen for a three-year term, (2) approved, on an advisory basis, the compensation of the Company's named executive officers, (3) voted for, on an advisory basis, annual voting on executive compensation, and (4) ratified the appointment of KMJ Corbin & Company LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2024.
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
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Nominee
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For
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Against
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Abstain
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Broker Non-Votes
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Norbert G. Riedel
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8,823,386
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954,567
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9,293
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7,579,711
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Sean E. Brynjelsen
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9,666,679
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118,185
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2,382
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7,579,711
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Proposal 2: Advisory Vote to Approve Executive Compensation
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For
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Against
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Abstain
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Broker Non-Votes
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9,170,839
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553,043
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63,364
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7,579,711
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Proposal 3: Advisory Vote on the Frequency of Votes on Executive Compensation
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1 Year
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2 Years
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3 Years
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Abstain
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6,169,483
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45,500
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3,545,483
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26,780
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Proposal 4: Ratification of the Appointment of KMJ Corbin & Company LLP as the Company’s Independent Registered Public Accounting Firm for the year ending December 31, 2024
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For
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Against
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Abstain
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Broker Non-Votes
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17,193,502
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150,140
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23,315
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0
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2
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.
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Date: June 11, 2024
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By:
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/s/ James R. Gruber
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James R. Gruber
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Chief Financial Officer and Secretary
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(Principal Financial Officer)
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