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Eton Pharmaceuticals (ETON) grants 10,000 performance RSUs to director

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Form Type
4

Rhea-AI Filing Summary

RIEDEL NORBERT G reported acquisition or exercise transactions in this Form 4 filing.

Eton Pharmaceuticals director Norbert G. Riedel received a grant of 10,000 performance-vested restricted stock units (RSUs) on July 31, 2026 under the 2018 equity incentive plan. Each RSU represents one common share and vests in full if the stock’s closing price reaches $72.36 or higher for one trading day before July 31, 2029; otherwise the entire award is forfeited. Following this grant, Riedel holds 10,000 such units.

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Insider RIEDEL NORBERT G
Role Director
Type Security Shares Price Value
Grant/Award Common Stock F1 10,000 $0.00 $0.00
Holdings After Transaction: Common Stock — 10,000 shares (Direct)
Footnotes (1)
  1. F1. On July 31, 2026, the reporting person was granted 10,000 performance-vested restricted stock units granted under the Issuer's 2018 equity incentive plan. Each restricted stock unit represents the right to acquire one share of Issuer common stock. The award vests in full, and all restrictions lapse, immediately upon the closing price of the Issuer's common stock equaling or exceeding $72.36 per share for one trading day at any time prior to the third anniversary of the grant date. If this market condition is not satisfied prior to such date, the award will be forfeited in its entirety without consideration on July 31, 2029.The number of shares reported reflects the maximum and only number of shares issuable under the award; there is no target, threshold, or maximum range.
RSUs granted 10,000 shares Performance-vested restricted stock units granted to director on July 31, 2026
Transaction price $0.0000 per share RSU grant made at no cash cost to the director
Vesting price hurdle $72.36 per share Closing price required on one trading day before July 31, 2029 for RSUs to vest
performance-vested restricted stock units financial
"granted 10,000 performance-vested restricted stock units under the Issuer's 2018 equity incentive plan"
equity incentive plan financial
"granted under the Issuer's 2018 equity incentive plan"
An equity incentive plan is a program that gives employees, executives or directors the right to receive company stock or options to buy stock as part of their pay. Think of it as offering slices of future company profit to motivate people to boost long‑term performance; for investors it matters because it can align employee goals with shareholder value but also increases the number of shares outstanding, which can dilute existing ownership.
market condition financial
"If this market condition is not satisfied prior to such date"
forfeited financial
"the award will be forfeited in its entirety without consideration"

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

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FAQ

What insider equity award did ETON grant to Norbert G. Riedel?

Eton Pharmaceuticals granted director Norbert G. Riedel 10,000 performance-vested restricted stock units (RSUs) on July 31, 2026. Each RSU equals one common share and depends entirely on achieving a specific stock-price condition before July 31, 2029.

What is the vesting condition for Norbert G. Riedel’s ETON RSUs?

The RSUs vest only if Eton Pharmaceuticals’ stock closes at or above $72.36 per share for one trading day before July 31, 2029. If this market condition is not satisfied in time, none of the 10,000 RSUs will vest.

What happens to ETON’s 10,000 RSUs if the price hurdle is not met?

If the $72.36 stock-price condition is not reached for one trading day by July 31, 2029, the entire 10,000-unit RSU award is forfeited without consideration. Riedel would then receive no shares from this grant.

How many ETON units does Norbert G. Riedel hold after this transaction?

Following the grant, Norbert G. Riedel is reported as holding 10,000 performance-vested RSUs linked to Eton Pharmaceuticals common stock. These units may convert into 10,000 shares only if the specified $72.36 stock-price condition is achieved in time.

Under which plan were Norbert G. Riedel’s ETON RSUs granted?

The 10,000 performance-vested RSUs for Norbert G. Riedel were granted under Eton Pharmaceuticals’ 2018 equity incentive plan. This plan provides stock-based awards, such as RSUs, that align director and executive compensation with the company’s share-price performance.
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
RIEDEL NORBERT G

(Last)(First)(Middle)
C/O ETON PHARMACEUTICALS, INC.
21925 W. FIELD PARKWAY, SUITE 235

(Street)
DEERPARK ILLINOIS 60010-7208

(City)(State)(Zip)

UNITED STATES

(Country)
2. Issuer Name and Ticker or Trading Symbol
Eton Pharmaceuticals, Inc. [ ETON ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
07/31/2026
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Common Stock(1)07/31/2026A10,000 (1) (1)Common Stock10,000$010,000D
Explanation of Responses:
1. On July 31, 2026, the reporting person was granted 10,000 performance-vested restricted stock units granted under the Issuer's 2018 equity incentive plan. Each restricted stock unit represents the right to acquire one share of Issuer common stock. The award vests in full, and all restrictions lapse, immediately upon the closing price of the Issuer's common stock equaling or exceeding $72.36 per share for one trading day at any time prior to the third anniversary of the grant date. If this market condition is not satisfied prior to such date, the award will be forfeited in its entirety without consideration on July 31, 2029.The number of shares reported reflects the maximum and only number of shares issuable under the award; there is no target, threshold, or maximum range.
Remarks:
The reporting person has authorized and designated the named person to file this Form 4 on the reporting person's behalf for indefinite duration.
/s/ Judith Matthews08/04/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)