Eton Pharmaceuticals, Inc. 10-Q

Item 5. Other Information   Rule 10b-5(1) Trading Plans. During the three months ended September 30, 2023, no director or officer of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.   Item 6. Exhibits   The exhibits listed on the Exhibit Index are either filed or furnished with this report or incorporated herein by reference.   29 Table of Contents   EXHIBIT INDEX   Exhibit No.   Description 31.1   Certification of President and Chief Executive Officer (Principal Executive Officer), pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.       31.2   Certification of Chief Financial Officer (Principal Financial Officer), pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.       32.1*   Certifications of President and Chief Executive Officer (Principal Executive Officer) and Chief Financial Officer (Principal Financial Officer), pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.       101   The following financial information from the Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2023 formatted in Inline Extensible Business Reporting Language (iXBRL): (i) the Condensed Balance Sheets, (ii) the Condensed Statements of Operations, (iii) the Condensed Statements of Stockholders’ Equity, (iv) the Condensed Statements of Cash Flows and (v) Notes to Condensed Financial Statements.       104   Cover Page Interactive Data File (embedded within the Inline XBRL document)   * These certifications are being furnished solely to accompany this quarterly report pursuant to 18 U.S.C. Section 1350, and are not being filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and are not to be incorporated by reference into any filing of the registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing.   30 Table of Contents   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 thereunto duly authorized.     ETON PHARMACEUTICALS, INC.       November 9, 2023 By: /s/ Sean E. Brynjelsen     Sean E. Brynjelsen     President and Chief Executive Officer     (Principal Executive Officer)         By: /s/ James R. Gruber     James R. Gruber     Chief Financial Officer     (Principal Financial Officer)   31