ETON Rule 144: RSUs and Options listed

ETON Rule 144 disclosure: This excerpt lists transferrable equity granted by the issuer and related quantities and dates.

Rhea-AI Filing Summary

ETON Rule 144 disclosure: This excerpt lists transferrable equity granted by the issuer and related quantities and dates. It shows multiple equity items including RSUs and Options with specific grant or event dates and share counts, and references Nasdaq as the market.

Key Figures

Listed quantity in header: 100,000 Dollar figure shown: $3,500,000.00 Header numeric value: 27,390,000 +5 more

8 metrics

Listed quantity in header 100,000 appears in header row of the excerpt

Dollar figure shown $3,500,000.00 numeric value in the header row

Header numeric value 27,390,000 numeric entry in the header row

RSUs dated 06/10/2024 1,657 shares RSU entry dated <date>06/10/2024</date>

RSUs dated 07/12/2024 10,000 shares RSU entry dated <date>07/12/2024</date>

RSUs dated 10/10/2024 549 shares RSU entry dated <date>10/10/2024</date>

Options dated 05/22/2026 (two entries) 25,000 shares each two Options rows dated <date>05/22/2026</date>

Options dated 05/22/2026 (larger entry) 37,794 shares Options row dated <date>05/22/2026</date>

Key Terms

RSU, Options, Rule 144

3 terms

RSU financial

"RSU | Issuer | ... | 1657 | 06/10/2024"

Restricted stock units (RSUs) are a form of company shares given to employees as part of their compensation, usually with certain restrictions or conditions, such as remaining with the company for a set period. When these restrictions lift, employees receive actual shares that they can sell or hold. For investors, RSUs can impact a company's stock supply and reflect the company's commitment to attracting and retaining talent.

Options financial

"Options | Issuer | ... | 25000 | 05/22/2026"

Options are contracts that give investors the right to buy or sell an asset at a specific price within a certain time frame. They function like a reservation or a ticket that allows for potential profit or protection against price changes, making them useful tools for managing investment risks or speculating on market movements.

Rule 144 regulatory

"Form type line indicates <b>144</b> (Rule 144 resale filing context)"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Form 144 for ETON report?

The Form 144 lists securities tied to the issuer, including RSUs and Options with specific dates and share counts. It names Raymond James & Associates and references Nasdaq, showing multiple entries dated between 06/10/2024 and 05/22/2026.

How many RSUs are shown in the excerpt for ETON?

The excerpt shows three RSU line items: 1,657 RSUs dated 06/10/2024, 10,000 RSUs dated 07/12/2024, and 549 RSUs dated 10/10/2024. These counts appear as individual entries in the table.

What Options quantities are disclosed in the filing excerpt?

The excerpt lists Options entries dated 05/22/2026 with quantities of 25,000, 25,000, and 37,794 shares. Each Options row is shown alongside the same date and labeled as issued by the issuer.

Does the excerpt state whether proceeds go to the issuer or selling holders?

The excerpt labels the entries as tied to the Issuer and marks consideration as Cash in the table rows. It does not otherwise allocate proceeds between issuer and selling holders beyond those row labels.

Who is listed as broker or receiving agent in the excerpt?

The excerpt names Raymond James & Associates, Inc. with an address and shows Nasdaq as the market. No additional broker-dealer selling-holder details or explicit sale instructions are provided in the visible lines.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 05/22/2026 - 04:24 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001968254
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	Eton Pharmaceuticals, Inc.
SEC File Number	001-38738
Address of Issuer	21925 W. FIELD PARKWAY SUITE 235 DEER PARK FLORIDA 60010-7278
Phone	(847) 787-7361
Name of Person for Whose Account the Securities are To Be Sold	Krempa David
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Raymond James & Associates, Inc. 880 Carillon Parkway St. Petersburg FL 33716	100000	3500000.00	27390000	05/22/2026	Nasdaq

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	06/10/2024	RSU	Issuer			1657	06/10/2024	Cash
Common	07/12/2024	RSU	Issuer			10000	07/12/2024	Cash
Common	10/10/2024	RSU	Issuer			549	10/10/2024	Cash
Common	05/22/2026	Options	Issuer			25000	05/22/2026	Cash
Common	05/22/2026	Options	Issuer			25000	05/22/2026	Cash
Common	05/22/2026	Options	Issuer			37794	05/22/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks
Date of Notice	05/22/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Tracey Cornelison, as duly authorized representative of Raymond James & Associates, Inc., as attorney-in-fact for dAVID cHARLES kREMPA
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)