<SEC-DOCUMENT>0001437749-16-032590.txt : 20160520
<SEC-HEADER>0001437749-16-032590.hdr.sgml : 20160520
<ACCEPTANCE-DATETIME>20160520165513
ACCESSION NUMBER:		0001437749-16-032590
CONFORMED SUBMISSION TYPE:	D
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		<ITEMS>06b
FILED AS OF DATE:		20160520
DATE AS OF CHANGE:		20160520
EFFECTIVENESS DATE:		20160520

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			NovaBay Pharmaceuticals, Inc.
		CENTRAL INDEX KEY:			0001389545
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				680454536
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		D
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	021-263628
		FILM NUMBER:		161666969

	BUSINESS ADDRESS:	
		STREET 1:		5980 HORTON STREET
		STREET 2:		SUITE 550
		CITY:			EMERYVILLE
		STATE:			CA
		ZIP:			94608
		BUSINESS PHONE:		(510) 899-8800

	MAIL ADDRESS:	
		STREET 1:		5980 HORTON STREET
		STREET 2:		SUITE 550
		CITY:			EMERYVILLE
		STATE:			CA
		ZIP:			94608
</SEC-HEADER>
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<TYPE>D
<SEQUENCE>1
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        <cik>0001389545</cik>
        <entityName>NovaBay Pharmaceuticals, Inc.</entityName>
        <issuerAddress>
            <street1>5980 HORTON STREET, SUITE 550</street1>
            <city>EMERYVILLE</city>
            <stateOrCountry>CA</stateOrCountry>
            <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
            <zipCode>94608</zipCode>
        </issuerAddress>
        <issuerPhoneNumber>(510) 899-8800</issuerPhoneNumber>
        <jurisdictionOfInc>DELAWARE</jurisdictionOfInc>
        <issuerPreviousNameList>
            <previousName>NovaCal Pharmaceuticals, Inc.</previousName>
        </issuerPreviousNameList>
        <edgarPreviousNameList>
            <value>None</value>
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        <entityType>Corporation</entityType>
        <yearOfInc>
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    <relatedPersonsList>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Mark</firstName>
                <middleName>M.</middleName>
                <lastName>Sieczkarek</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Thomas</firstName>
                <middleName>J.</middleName>
                <lastName>Paulson</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Justin</firstName>
                <middleName>M.</middleName>
                <lastName>Hall</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
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            <relatedPersonRelationshipList>
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            <relationshipClarification></relationshipClarification>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Mijia (Bob)</firstName>
                <lastName>Wu</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
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            <relationshipClarification></relationshipClarification>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Paul</firstName>
                <middleName>E.</middleName>
                <lastName>Freiman</lastName>
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            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
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            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
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            <relationshipClarification></relationshipClarification>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Xinzhou (Paul)</firstName>
                <lastName>Li</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Gail</firstName>
                <middleName>J.</middleName>
                <lastName>Maderis</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
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            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>T.</firstName>
                <middleName>Alex</middleName>
                <lastName>McPherson</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
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            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Todd</firstName>
                <lastName>Zavodnick</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>Xiaoyan (Henry)</firstName>
                <lastName>Liu</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>5980 Horton Street, Suite 550</street1>
                <city>Emeryville</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification></relationshipClarification>
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    </relatedPersonsList>

    <offeringData>
        <industryGroup>
            <industryGroupType>Pharmaceuticals</industryGroupType>
        </industryGroup>
        <issuerSize>
            <revenueRange>Decline to Disclose</revenueRange>
        </issuerSize>
        <federalExemptionsExclusions>
            <item>06b</item>
        </federalExemptionsExclusions>
        <typeOfFiling>
            <newOrAmendment>
                <isAmendment>false</isAmendment>
            </newOrAmendment>
            <dateOfFirstSale>
                <value>2016-05-09</value>
            </dateOfFirstSale>
        </typeOfFiling>
        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
        </durationOfOffering>
        <typesOfSecuritiesOffered>
            <isEquityType>true</isEquityType>
            <isOptionToAcquireType>true</isOptionToAcquireType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
            <clarificationOfResponse></clarificationOfResponse>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>0</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>China Kington Asset Management Co. Ltd.</recipientName>
                <recipientCRDNumber>None</recipientCRDNumber>
                <associatedBDName>None</associatedBDName>
                <associatedBDCRDNumber>None</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>Suite 6C, Building 3, You You Century Pl</street1>
                    <street2>No. 428 Yang Gao, South Road, Pu Dong Ne</street2>
                    <city>Shanghai</city>
                    <stateOrCountry>F4</stateOrCountry>
                    <stateOrCountryDescription>CHINA</stateOrCountryDescription>
                    <zipCode>200127</zipCode>
                </recipientAddress>
                <statesOfSolicitationList></statesOfSolicitationList>
                <foreignSolicitation>true</foreignSolicitation>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>11791000</totalOfferingAmount>
            <totalAmountSold>7791000</totalAmountSold>
            <totalRemaining>4000000</totalRemaining>
            <clarificationOfResponse>$1,491,000 of securities were or will be offered and sold within the United States, and $10,300,000 of securities were or will be offered and sold in non-U.S jurisdictions.</clarificationOfResponse>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
            <totalNumberAlreadyInvested>9</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>618000</dollarAmount>
                <isEstimate>true</isEstimate>
            </salesCommissions>
            <findersFees>
                <dollarAmount>0</dollarAmount>
            </findersFees>
            <clarificationOfResponse>No commissions were paid on sales to U.S. citizens or persons or entities domiciled within the United States.</clarificationOfResponse>
        </salesCommissionsFindersFees>
        <useOfProceeds>
            <grossProceedsUsed>
                <dollarAmount>0</dollarAmount>
            </grossProceedsUsed>
            <clarificationOfResponse></clarificationOfResponse>
        </useOfProceeds>
        <signatureBlock>
            <authorizedRepresentative>false</authorizedRepresentative>
            <signature>
                <issuerName>NovaBay Pharmaceuticals, Inc.</issuerName>
                <signatureName>/s/ Justin Hall</signatureName>
                <nameOfSigner>Justin Hall</nameOfSigner>
                <signatureTitle>Senior Vice President, General Counsel</signatureTitle>
                <signatureDate>2016-05-20</signatureDate>
            </signature>
        </signatureBlock>
    </offeringData>
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</SEC-DOCUMENT>
