Filing Details

Accession Number:
0001437749-19-020745
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2019-10-28 16:30:15
Reporting Period:
2019-06-10
Accepted Time:
2019-10-28 16:30:15
Original Submission Date:
2019-06-12
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
1771217 Philip Jason Raleigh C/O Novabay Pharmaceuticals, Inc.
2000 Powell Street, Suite 1150
Emeryville CA 94608
Interim Cfo And Treasurer No Yes No 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 2019-06-10 23,405 $2.20 23,405 No 4 A Direct
Common Stock Disposition 2019-06-10 23,405 $3.00 0 No 4 S Direct
Common Stock Acquisiton 2019-06-11 9,750 $2.35 9,750 No 4 A Direct
Common Stock Disposition 2019-06-11 9,750 $3.75 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 A Direct
No 4 S Direct
No 4 A Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2019-06-10 23,405 $0.00 23,405 $2.20
Common Stock Stock Option (right to buy) Disposition 2019-06-11 9,750 $0.00 9,750 $2.35
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2019-05-31 2028-05-31 No 4 X Direct
0 2018-06-02 2027-06-02 No 4 X Direct
Footnotes
  1. The amended Form 4 is being filed to show (1) the corresponding acquisition of common stock after the exercise of options in Table I and (2) the immediate sale of common stock after such exercise of options in Table I.