1 unchanged sentence
Rule 10b - 5 ( 1 ) Trading Plans.
−Removed: During the three -month period ended June 30, 2024 , 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.
+Added: During the three -month period ended September 30, 2024 , 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.
The exhibits listed on the Exhibit Index are either filed or furnished with this report or incorporated herein by reference.
EXHIBIT INDEX
+Added: Fifth Amendment to Credit Agreement by and among the Company and SWK Funding LLC dated as of September 30, 2024
+Added: Second Amendment to Warrant Agreement by and among the Company and SWK Funding LLC dated as of September 30, 2024
Certification of President and Chief Executive Officer (Principal Executive Officer), pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
2 unchanged sentences
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
−Removed: The following financial information from the Company’s Quarterly Report on Form 10-Q for the period ended June 30, 2024 formatted in Inline Extensible Business Reporting Language (iXBRL):
+Added: The following financial information from the Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2024 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.
4 unchanged sentences
ETON PHARMACEUTICALS, INC.
−Removed: August 8, 2024
+Added: November 12, 2024
President and Chief Executive Officer
3 unchanged sentences
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.