ETON PHARMACEUTICALS INC

Ticker: ETON CUSIP: 29772L108 Class: COM

Note: Option positions (PUT/CALL) are excluded.

InstitutionSharesValue ($000)
Opaleye Management Inc.2,860,000$48,363
EcoR1 Capital, LLC2,030,544$34,336
BlackRock, Inc.1,738,907$29,405
VANGUARD GROUP INC1,348,668$22,806
Nantahala Capital Management, LLC1,175,951$19,885
GEODE CAPITAL MANAGEMENT, LLC565,051$9,557
STATE STREET CORP501,925$8,488
MORGAN STANLEY493,914$8,352
Westside Investment Management, Inc.470,940$7,963
OBERWEIS ASSET MANAGEMENT INC/431,300$7,293
THOMPSON SIEGEL & WALMSLEY LLC408,541$7
BNP PARIBAS ARBITRAGE, SA277,458$4,692
NORTHERN TRUST CORP231,849$3,921
CANNELL CAPITAL LLC216,917$3,668
RENAISSANCE TECHNOLOGIES LLC205,700$3,478
GOLDMAN SACHS GROUP INC196,263$3,319
Diametric Capital, LP193,155$3,266
JPMORGAN CHASE & CO185,439$3,136
Lumbard & Kellner, LLC174,944$2,958
Aristides Capital LLC161,436$2,730
Bank of New York Mellon Corp127,700$2,159
UBS Group AG126,674$2,142
Jefferies Financial Group Inc.118,300$2,000
BANK OF AMERICA CORP /DE/104,796$1,772
Woodline Partners LP95,487$1,615
BRIDGEWAY CAPITAL MANAGEMENT, LLC84,020$1,421
WELLINGTON MANAGEMENT GROUP LLP81,201$1,373
MILLENNIUM MANAGEMENT LLC79,331$1,341
CHARLES SCHWAB INVESTMENT MANAGEMENT INC77,212$1,306
TWO SIGMA INVESTMENTS, LP76,602$1,295
Connor, Clark & Lunn Investment Management Ltd.76,586$1,295
CITADEL ADVISORS LLC74,144$1,254
Nuveen, LLC58,917$996
JANE STREET GROUP, LLC58,056$982
BARCLAYS PLC51,448$870
Russell Investments Group, Ltd.49,694$840
PRELUDE CAPITAL MANAGEMENT, LLC45,325$766
ANCHOR CAPITAL ADVISORS LLC40,668$688
XTX Topco Ltd32,527$550
BLAIR WILLIAM & CO/IL32,400$548
RHUMBLINE ADVISERS30,436$515
WELLS FARGO & COMPANY/MN28,293$478
STATE OF WISCONSIN INVESTMENT BOARD24,615$416
Aquatic Capital Management LLC22,802$386
ESSEX INVESTMENT MANAGEMENT CO LLC20,182$341
Invesco Ltd.19,691$333
JUNCTURE WEALTH STRATEGIES, LLC18,996$321
Bridge City Capital, LLC18,600$315
DEUTSCHE BANK AG\18,249$309
CHICAGO TRUST Co NA16,700$282
Voleon Capital Management LP15,582$263
MetLife Investment Management, LLC15,537$263
PRICE T ROWE ASSOCIATES INC /MD/15,369$0
D. E. Shaw & Co., Inc.15,331$259
PDT Partners, LLC14,891$252
TWO SIGMA ADVISERS, LP14,700$249
LOS ANGELES CAPITAL MANAGEMENT LLC14,631$267
Squarepoint Ops LLC13,482$228
Point72 Asset Management, L.P.12,925$219
CANADA PENSION PLAN INVESTMENT BOARD12,500$211
INTECH INVESTMENT MANAGEMENT LLC12,421$210
RAYMOND JAMES FINANCIAL INC12,250$207
MIRAE ASSET GLOBAL ETFS HOLDINGS Ltd.11,864$201
Quantum Private Wealth, LLC11,500$194
ENVESTNET ASSET MANAGEMENT INC10,944$185
Jump Financial, LLC10,551$178
Man Group plc10,473$177
NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO10,000$169
Quantbot Technologies LP9,357$158
State of Wyoming8,161$138
NEW YORK STATE COMMON RETIREMENT FUND8,100$137
Police & Firemen's Retirement System of New Jersey7,209$122
State of Alaska, Department of Revenue6,943$0
SG Americas Securities, LLC6,471$0
China Universal Asset Management Co., Ltd.4,370$74
AlphaQuest LLC4,149$70
FMR LLC3,076$52
Tower Research Capital LLC (TRC)2,994$51
Caitong International Asset Management Co., Ltd2,939$50
Legal & General Group Plc2,731$46
Ameritas Investment Partners, Inc.2,167$37
CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM1,578$27
CITIGROUP INC1,451$25
Mirae Asset Global Investments Co., Ltd.1,303$22
Truvestments Capital LLC1,183$20
ROYAL BANK OF CANADA1,018$17
AMALGAMATED BANK805$0
GF FUND MANAGEMENT CO. LTD.527$9
GROUP ONE TRADING, L.P.500$8
JONES FINANCIAL COMPANIES LLLP221$4
OSAIC HOLDINGS, INC.200$3
Sterling Capital Management LLC167$3
Vermillion & White Wealth Management Group, LLC150$3
Farther Finance Advisors, LLC146$2
Daiwa Securities Group Inc.89$0
US BANCORP \DE\54$1
PNC Financial Services Group, Inc.51$1
CWM, LLC26$0
GAMMA Investing LLC23$0
SBI Securities Co., Ltd.10$0
2 other institutions8$0
Total (102 institutions)15,891,682$261,346