# EDGAR Filing Document

**Accession Number:** 0001710340
**File Stem:** 0001493152-23-006995
**Filing Date:** 2023-3
**Character Count:** 7739
**Document Hash:** cd617be3819ec65ead55334fa8cde4ea
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-006995.hdr.sgml**: 20230308

**ACCESSION NUMBER**: 0001493152-23-006995

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230301

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230308

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Krempa David
- **CENTRAL INDEX KEY:** 0001968254

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38738
- **FILM NUMBER:** 23715685

**MAIL ADDRESS:**
- **STREET 1:** 29125 W FIELD PARKWAY
- **STREET 2:** SUITE 235
- **CITY:** DEER PARK
- **STATE:** IL
- **ZIP:** 60010
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Eton Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001710340
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 371858472
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 21925 W. FIELD PARKWAY
- **STREET 2:** SUITE 235
- **CITY:** DEER PARK
- **STATE:** IL
- **ZIP:** 60010-7278
- **BUSINESS PHONE:** (847) 787-7361

**MAIL ADDRESS:**
- **STREET 1:** 21925 W. FIELD PARKWAY
- **STREET 2:** SUITE 235
- **CITY:** DEER PARK
- **STATE:** IL
- **ZIP:** 60010-7278

## Ex-24

**Exhibit 24**

**SECTION 16 POWER OF ATTORNEY**

The undersigned hereby constitutes and appoints Sean E. Brynjelsen and James R. Gruber, my true and lawful attorneys-in-fact and agents, each acting alone, with full powers of substitution, for me and in my name, place and stead, in any and all capacities, to sign any and all Forms 3, 4 or 5 in connection with my beneficial ownership of securities of **Eton Pharmaceuticals, Inc**. (the "Company") that may be required of me pursuant to Section 16 of the Securities Exchange Act of 1934 and the rules and regulations promulgated thereunder, and to file the same and all other documents in connection therewith, with the Securities and Exchange Commission, granting unto said attorneys-in-fact and agents, each acting alone, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as I might or could do in person, hereby ratifying and confirming all that said attorneys-in-fact and agents, each acting alone, or his substitute, may lawfully do or cause to be done by virtue hereof.

I declare that any act or thing lawfully done hereunder by my said attorneys-in-fact and agents shall be binding on myself and my heirs, legal and personal representatives, and assigns, whether the same shall have been done before or after my death, or other revocation of this instrument, unless and until reliable notice thereof shall have been received by any party who, upon the faith of this instrument, accepts my said attorneys-in-fact and agents as authorized to represent me.

This power of attorney and the authority of my attorneys-in-fact and agents hereunder shall not terminate on my disability but shall remain in full force and effect for so long as I am an officer or director of the Company and for such time hereafter as may be necessary to file any such reports.

IN WITNESS WHEREOF, I have hereunto set my hand and seal this 7th day of March, 2023.

---

| |
|:---|
| */s/ David Krempa* |
| David Krempa |

---

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Krempa David<br><sub>(Last) (First) (Middle)</sub><br>21925 W FIELD PARKWAY<br>SUITE 235<br><sub>(Street)</sub><br>DEER PARK, IL 60010<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Eton Pharmaceuticals, Inc. [ ETON ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-03-01 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Chief Business Officer_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 12831 | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (Right to buy) | <sup>(1)</sup> | 2027-08-06 | Common Stock | 25000 | $1.38 | D |  |
| Employee Stock Option (Right to buy) | <sup>(2)</sup> | 2027-11-09 | Common Stock | 25000 | $1.37 | D |  |
| Employee Stock Option (Right to buy) | <sup>(3)</sup> | 2029-02-19 | Common Stock | 95000 | $7.31 | D |  |
| Employee Stock Option (Right to buy) | <sup>(4)</sup> | 2030-03-11 | Common Stock | 156200 | $3.58 | D |  |
| Employee Stock Option (Right to buy) | <sup>(5)</sup> | 2031-05-02 | Common Stock | 85000 | $8.61 | D |  |
| Employee Stock Option (Right to buy) | <sup>(6)</sup> | 2031-10-28 | Common Stock | 20000 | $5.76 | D |  |
| Employee Stock Option (Right to buy) | <sup>(7)</sup> | 2032-02-06 | Common Stock | 158270 | $3.78 | D |  |
| Employee Stock Option (Right to buy) | <sup>(8)</sup> | 2033-02-19 | Common Stock | 74283 | $3.47 | D |  |
| Restricted Stock Units | <sup>(9)</sup> | <sup>(9)</sup> | Common Stock | 40000 | $0 | D |  |

---

### Footnotes:

(1) Fully vested

(2) Fully vested

(3) Fully vested

(4) 105,770 options vested. The remainder vest at the rate of 3,879 options/month

(5) 38,958 options vested. The remainder vest at the rate of 1,771 options/month

(6) Fully vested

(7) 42,864 options vested. The remainder vest at the rate of 3,297 options/month

(8) The options vest in 48 equal monthly installments.

(9) The Restricted Stock Units vest in four equal installments on July 12, 2023, 2024, 2025 and 2026

**Remarks:**
Exhibit List - Exhibit 24: Power of Attorney

**Signature:** /s/ David Krempa  
**Date:** 2023-03-08

### Remarks:

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.**