Eton Pharmaceuticals, Inc. Shares of Common Stock (par value $0.001 per share) Controlled Equity OfferingSM Sales AgreementSales Agreement • April 7th, 2023 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledApril 7th, 2023 Company Industry JurisdictionEton Pharmaceuticals, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cantor Fitzgerald & Co. (the “Agent”), as follows:
ContractWarrant Agreement • November 5th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledNovember 5th, 2018 Company Industry JurisdictionTHIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR ANY OTHER SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF (1) AN EFFECTIVE REGISTRATION STATEMENT COVERING SUCH SECURITIES UNDER THE SECURITIES ACT AND ANY OTHER APPLICABLE SECURITIES LAWS, OR (2) AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO THE COMPANY THAT SUCH REGISTRATION IS NOT REQUIRED.
CREDIT AGREEMENT among ETON PHARMACEUTICALS, INC., as Borrower, SWK FUNDING LLC, as Agent, Sole Lead Arranger and Sole Bookrunner, and the financial institutions party hereto from time to time as Lenders Dated as of November 13, 2019Credit Agreement • May 12th, 2022 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations
Contract Type FiledMay 12th, 2022 Company IndustryThis Credit Agreement (as may be amended, restated, supplemented, or otherwise modified from time to time, this “Agreement”) dated as of November 13, 2019 (the “Closing Date”), among ETON PHARMACEUTICALS, INC., a Delaware corporation (“Borrower”), the financial institutions party hereto from time to time as lenders (each a “Lender” and collectively, the “Lenders”) and SWK Funding LLC, a Delaware limited liability company (in its individual capacity, “SWK”), as Agent for all Lenders.
REGISTRATION RIGHTS AGREEMENT FOR INVESTORSRegistration Rights Agreement • August 10th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledAugust 10th, 2018 Company Industry JurisdictionTHIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made as of June 19, 2017,1 by and among Eton Pharmaceuticals, Inc., a Delaware corporation (“Company”), and the persons listed on Schedule A hereto, referred to individually as the “Stockholder” and collectively as the “Stockholders”.
ASSET PURCHASE AND LICENSE AGREEMENTAsset Purchase and License Agreement • August 10th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • California
Contract Type FiledAugust 10th, 2018 Company Industry JurisdictionTHIS ASSET PURCHASE AND LICENSE AGREEMENT (this “Agreement”) dated as of May 9, 2017 (the “Effective Date”), is entered into between IMPRIMIS PHARMACEUTICALS, INC., a Delaware corporation (“Imprimis”), with a place of business at 12264 El Camino Real, Suite 350, San Diego, California 92130, and ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 12264 El Camino Real, Suite 350, San Diego, California 92130. The parties hereby agree as follows:
ETON PHARMACEUTICALS, INC. 12264 EL CAMINO REAL, SUITE 350 SAN DIEGO, CA 92130Employment Agreement • August 10th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Illinois
Contract Type FiledAugust 10th, 2018 Company Industry JurisdictionOn behalf of Eton Pharmaceuticals, Inc. (the “Company”), I am pleased to offer you employment in the position of Chief Executive Officer of the Company, on the terms set forth in this offer letter agreement (the “Agreement”).
SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • June 28th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledJune 28th, 2018 Company Industry JurisdictionThis SECURITIES PURCHASE AGREEMENT (this “Agreement”), dated as of June 19, 2017 (the “Effective Date”), is by and among Eton Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the investors listed on the Schedule of Buyers, attached hereto as Exhibit A (individually, a “Buyer” and collectively, the “Buyers”).
DEVELOPMENT, SUPPLY AND COMMERCIALIZATION AGREEMENTDevelopment, Supply and Commercialization Agreement • September 25th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledSeptember 25th, 2018 Company Industry JurisdictionTHIS DEVELOPMENT, SUPPLY AND COMMERCIALIZATION AGREEMENT (this “Agreement”) dated as of November 7, 2017 (the “Effective Date”), is entered into between ***, with a place of business at ***, and ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, Illinois 60010. The parties hereby agree as follows:
Certain information identified by bracketed asterisks ([* * *]) has been omitted from this exhibit because it is both not material and would be competitively harmful if publicly disclosed. EXCLUSIVE LICENSE AND SUPPLY AGREEMENTExclusive License and Supply Agreement • May 7th, 2019 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledMay 7th, 2019 Company Industry JurisdictionThis Exclusive License and Supply Agreement (“Agreement”) is made and entered into as of January 23, 2019 (“Effective Date”), between ETON PHARMACEUTICALS, INC., a Delaware corporation (“ETON”), with a place of business at 21925 Field Parkway, Suite 235, Deer Park, IL 60010, LIQMEDS WORLDWIDE LIMITED, a private company limited by shares, registered in England and Wales (“LMW”), with a place of business at 65 Delamere Road, Hayes, Middlesex, United Kingdom, UB4 0NN, and LM MANUFACTURING, LTD. (“LM”), each a “Party” and collectively the “Parties”).
ASSET PURCHASE AGREEMENTAsset Purchase Agreement • August 10th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • California
Contract Type FiledAugust 10th, 2018 Company Industry JurisdictionTHIS ASSET PURCHASE AGREEMENT (this “Agreement”) dated as of the last date provided for on the signature page herein (the “Effective Date”), is entered into between SELENIX LLC, a Virginia limited liability company (“Selenix”), with a place of business at 1640 Roanoke Blvd., Salem, Virginia 24153, and ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 12264 El Camino Real, Suite 350, San Diego, California 92130. The parties hereby agree as follows:
EXCLUSIVE SALES AND MARKETING AGREEMENTExclusive Sales and Marketing Agreement • October 18th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
Contract Type FiledOctober 18th, 2018 Company Industry JurisdictionTHIS EXCLUSIVE SALES AND MARKETING AGREEMENT (this “Agreement”) dated as of August 11, 2017 (the “Effective Date”), is entered into between EYEMAX LLC, a Massachusetts limited liability company (“Eyemax”), with a place of business at 74 Chestnut Street, Weston, Massachusetts 02493, and ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, Illinois 60010. The parties hereby agree as follows:
ETON PHARMACEUTICALS, INC. UNDERWRITING AGREEMENTUnderwriting Agreement • October 31st, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledOctober 31st, 2018 Company Industry JurisdictionThe undersigned, Eton Pharmaceuticals, Inc. (together with its affiliates, subsidiaries, predecessors, and successors, the “Company”), a company formed under the laws of Delaware, hereby confirms its agreement with National Securities Corporation (hereinafter referred to as the “Representative”), a Washington corporation, and with the other underwriters named on Schedule 1 hereto for which the Representative is acting as representative (the Representative and such other underwriters being collectively called the “Underwriters” or, individually, an “Underwriter”) as follows:
EXCLUSIVE DEVELOPMENT AND SUPPLY AGREEMENTExclusive Development and Supply Agreement • August 10th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
Contract Type FiledAugust 10th, 2018 Company Industry JurisdictionThis Exclusive Development and Supply Agreement (“Agreement”) is made and entered into as of July 9, 2017 (“Effective Date”), between ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, IL 60010, and ANDERSEN PHARMA, LLC, a Delaware limited liability company (“Andersen”), with a place of business at 160 Greentree Drive, Suite 101, Dover, Delaware 19904 (each a “Party” and collectively the “Parties”).
SALES/MARKETING AGREEMENTSales/Marketing Agreement • August 10th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Oklahoma
Contract Type FiledAugust 10th, 2018 Company Industry JurisdictionTHIS SALES/MARKETING AGREEMENT (this “Agreement”) dated as of November 17, 2017 (the “Effective Date”), is entered into between AL PHARMA, INC, an Oklahoma corporation (“AL”), with a place of business at 7301 Broadway Extension, Suite 110, Oklahoma City, Oklahoma 73116, SCS NATIONAL, LLC, an Oklahoma limited liability company with a mailing address of P.O. Box 54606, Oklahoma City, OK 73154 (“SCS”), DRY CREEK PROJECT, LLC with a mailing address of 5105 108th Ave., SE, Noble, OK 73068 (“DCP”), and ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, Illinois 60010. The parties hereby agree as follows:
Certain information identified by bracketed asterisks ([* * *]) has been omitted from this exhibit because it is both not material and would be competitively harmful if publicly disclosed. EXCLUSIVE LICENSE AND SUPPLY AGREEMENTExclusive License and Supply Agreement • May 7th, 2019 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations
Contract Type FiledMay 7th, 2019 Company IndustryTHIS EXCLUSIVE LICENSE AND SUPPLY AGREEMENT (this “Agreement”) is entered into as of February 8, 2019 (the “Effective Date”) by and between ETON PHARMACEUTICALS, INC., a Delaware corporation with offices at 21925 W. Field Pkwy, Suite 235, Deer Park, Illinois, USA (“ETON”), and SINTETICA SA, a company number CHE-105.272.121 with offices at Penate 5, CH-6850 Mendrisio, Switzerland (“Sintetica”).
CONSULTING AGREEMENTConsulting Agreement • August 10th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • California
Contract Type FiledAugust 10th, 2018 Company Industry JurisdictionTHIS CONSULTING AGREEMENT (the "Agreement") is effective as the last date provided for on the signature page and is entered into by and between Mark L. Baum, an individual ("Consultant") and Eton Pharmaceuticals, Inc., a Delaware corporation with its principal address located at 12264 El Camino Real, Suite 350, San Diego, CA 92130 (the "Company").
ETON PHARMACEUTICALS, INC. 1,320,000 SHARES OF COMMON STOCK UNDERWRITING AGREEMENTUnderwriting Agreement • April 8th, 2021 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledApril 8th, 2021 Company Industry JurisdictionHarrow Health, Inc., a Delaware corporation (the “Selling Stockholder”), proposes, subject to the terms and conditions stated in this agreement (this “Agreement”), to sell to National Securities Corporation (the “Underwriter”), an aggregate of 1,320,000 issued and outstanding shares (the “Firm Shares”) and, at the election of the Underwriter, up to 198,000 additional shares (the “Additional Shares”), in each case of common stock, par value $0.001 per share (the “Common Stock”) of Eton Pharmaceuticals, Inc., a Delaware corporation (the “Company”), in an offering under the Company’s registration statement on Form S-3 (File No. 333-240252) (the Firm Shares and the Additional Shares being collectively called the “Shares”).
ETON PHARMACEUTICALS, INC. 2,800,000 SHARES OF COMMON STOCK UNDERWRITING AGREEMENTUnderwriting Agreement • October 14th, 2020 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledOctober 14th, 2020 Company Industry JurisdictionEton Pharmaceuticals, Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated in this agreement (this “Agreement”), to issue and sell to National Securities Corporation (the “Underwriter”), an aggregate of 2,800,000 authorized but unissued shares (the “Firm Shares”) and, at the election of the Underwriter, up to 420,000 additional shares (the “Additional Shares”), in each case of common stock, par value $0.001 per share (the “Common Stock”) of the Company, in an offering under its registration statement on Form S-3 (File No. 333-235329) (the Firm Shares and the Additional Shares being collectively called the “Shares”).
DEVELOPMENT, SUPPLY AND COMMERCIALIZATION AGREEMENTDevelopment, Supply and Commercialization Agreement • October 18th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledOctober 18th, 2018 Company Industry JurisdictionTHIS DEVELOPMENT, SUPPLY AND COMMERCIALIZATION AGREEMENT (this “Agreement”) dated as of November 7, 2017 (the “Effective Date”), is entered into between AMPHASTAR PHARMACEUTICALS, INC., a Delaware corporation, (“Amphastar”), with a place of business at 11570 6th Street, Rancho Cucamonga, California 91730, and ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, Illinois 60010. The parties hereby agree as follows:
EXCLUSIVE LICENSE AND PRODUCT DEVELOPMENT AGREEMENTExclusive License and Product Development Agreement • November 14th, 2019 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
Contract Type FiledNovember 14th, 2019 Company Industry JurisdictionTHIS EXCLUSIVE LICENSE AND PRODUCT DEVELOPMENT AGREEMENT (this “Agreement”) is entered into as of June 12, 2019 (the “Execution Date”) by and between Eton Pharmaceuticals, Inc., a Delaware corporation with offices at 21925 W. Field Pkwy, Suite 235, Deer Park, Illinois, USA (“ETON”), and Aucta Pharmaceuticals, Inc., a Delaware corporation with offices at 71 Suttons Lane, Piscataway, NJ 08854 (“Aucta”) .
Certain information identified by bracketed asterisks ([* * *]) has been omitted from this exhibit because it is both not material and would be competitively harmful if publicly disclosed. ASSET PURCHASE AGREEMENTAsset Purchase Agreement • May 7th, 2019 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • New York
Contract Type FiledMay 7th, 2019 Company Industry JurisdictionTHIS ASSET PURCHASE AGREEMENT (this “Purchase Agreement”) is entered into and effective as of February 18, 2019 (the “Effective Date”), between Eton Pharmaceuticals, Inc., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, Illinois 60010 and Bausch Health Ireland Limited, a limited liability company (“BIRL”) registered in Ireland (registered company number 513130) whose registered office is at 3013 Lake Drive, Citywest Business Campus, Dublin 24, Ireland (Eton and BIRL are collectively referred to herein as the “parties”). The parties hereby agree as follows:
AMENDMENT NO. 1 TO SALES/MARKETING AGREEMENTSales/Marketing Agreement • September 25th, 2018 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations
Contract Type FiledSeptember 25th, 2018 Company IndustryThis AMENDMENT NO. 1 TO SALES/MARKETING AGREEMENT (this “Amendment”) is made and entered into as of August 29, 2018, by and among Eton Pharmaceuticals, Inc., a Delaware corporation (the “Company”); AL Pharma, Inc, an Oklahoma corporation (“AL”); SCS National, LLC, an Oklahoma limited liability company(“SCS”); and Dry Creek Project, LLC, an Oklahoma limited liability company(“DCP”) as an amendment to the SALES/MARKETING AGREEMENT dated November 17, 2017.
Certain information identified by bracketed asterisks ([* * *]) has been omitted from this exhibit because it is both not material and would be competitively harmful if publicly disclosed. AMENDED AND RESTATED AGREEMENTExclusive Sales and Marketing Agreement • May 7th, 2019 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
Contract Type FiledMay 7th, 2019 Company Industry JurisdictionTHIS AMENDED AND RESTATED AGREEMENT (this “Restated Agreement”) is entered into as of February 18, 2019 (the “Restatement Date”), between EYEMAX LLC, a Massachusetts limited liability company (“Eyemax”), with a place of business at 74 Chestnut Street, Weston, Massachusetts 02493, and ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, Illinois 60010.
FORM OF SECURITIES PURCHASE AGREEMENTSecurities Purchase Agreement • December 12th, 2024 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
Contract Type FiledDecember 12th, 2024 Company Industry JurisdictionThis SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of December [●], 2024 by and between Eton Pharmaceuticals, Inc., a Delaware corporation (the “Company”), and the purchaser identified on the signature page hereto (the “Purchaser”).
Certain information identified by bracketed asterisks ([* * *]) has been omitted from this exhibit because it is both not material and would be competitively harmful if publicly disclosed. ASSET PURCHASE AGREEMENTAsset Purchase Agreement • May 7th, 2019 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • California
Contract Type FiledMay 7th, 2019 Company Industry JurisdictionTHIS ASSET PURCHASE AGREEMENT (this “Agreement”) dated as of May 6, 2019 (the “Effective Date”), is entered into between ETON PHARMACEUTICALS, INC., a Delaware corporation (“Eton”), with a place of business at 21925 W. Field Parkway, Suite 235, Deer Park, Illinois 60010, and HARROW HEALTH, INC., a Delaware corporation f/k/a Imprimis Pharmaceuticals, Inc. (“Harrow”), with a place of business at 12264 El Camino Real, Suite 350, San Diego, California 92130.
ASSET PURCHASE AGREEMENTAsset Purchase Agreement • August 11th, 2022 • Eton Pharmaceuticals, Inc. • Pharmaceutical preparations • Delaware
Contract Type FiledAugust 11th, 2022 Company Industry JurisdictionTHIS ASSET PURCHASE AGREEMENT (this “Agreement”) dated as of June 24, 2022 (the “Effective Date”), is entered into between Eton Pharmaceuticals, Inc., a Delaware corporation (“Eton”), with a place of business at 21925 Field Pkwy, Suite 235, Deer Park, Illinois 60010, USA and Dr. Reddy’s Laboratories S.A., a Swiss company (“Dr. Reddy’s”), with a place of business at Elisabethenanlage 11, CH - 4051, Basel, Switzerland.