Filing Details

Accession Number:
0001437749-13-000029
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-01-02 15:25:17
Reporting Period:
2012-10-31
Filing Date:
2013-01-02
Accepted Time:
2013-01-02 15:25:17
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1389545 Novabay Pharmaceuticals Inc. NBY Pharmaceutical Preparations (2834) 680454536
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1565534 Xinzhou Li No. 1000, Wangqiao Road, Pudong Area
Shanghai, P.r. Of China 201201
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2012-10-31 1,200,000 $1.25 2,000,000 No 4 P Indirect The shares are held by Pioneer Pharma (Singapore) Pte. Ltd., a 100% wholly owned subsidiary of Naqu
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect The shares are held by Pioneer Pharma (Singapore) Pte. Ltd., a 100% wholly owned subsidiary of Naqu
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant Acquisiton 2012-10-31 1,200,000 $1.50 1,200,000 $1.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,000,000 2012-10-31 2013-08-31 No 4 P Indirect
Footnotes
  1. The shares are held directly by Pioneer Pharma (Singapore) Pte. Ltd. who is a 100% wholly owned subsidiary of Naqu Area Pioneer Pharma, Co. Ltd. (NAQU) and Mr. Paul Li is the sole owner of the NAQU hence Mr. Paul Li may be deemed to beneficially own the warrants held by Pioneer Pharma (Singapore) Pte. Ltd.
  2. Warrant to purchase common stock
  3. The warrants are held directly by Pioneer Pharma (Singapore) Pte. Ltd. who is a 100% wholly owned subsidiary of Naqu Area Pioneer Pharma, Co. Ltd. (NAQU) and Mr. Paul Li is the sole owner of the NAQU hence Mr. Paul Li may be deemed to beneficially own the warrants held by Pioneer Pharma (Singapore) Pte. Ltd.