<SEC-DOCUMENT>0001437749-23-015159.txt : 20230518
<SEC-HEADER>0001437749-23-015159.hdr.sgml : 20230518
<ACCEPTANCE-DATETIME>20230518171515
ACCESSION NUMBER:		0001437749-23-015159
CONFORMED SUBMISSION TYPE:	D
PUBLIC DOCUMENT COUNT:		1
ITEM INFORMATION:		<ITEMS>06b
FILED AS OF DATE:		20230518
DATE AS OF CHANGE:		20230518
EFFECTIVENESS DATE:		20230518

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:	021-482123
		FILM NUMBER:		23937111

	BUSINESS ADDRESS:	
		STREET 1:		2000 POWELL STREET, SUITE 1150
		CITY:			EMERYVILLE
		STATE:			CA
		ZIP:			94608
		BUSINESS PHONE:		(510) 899-8800

	MAIL ADDRESS:	
		STREET 1:		2000 POWELL STREET, SUITE 1150
		CITY:			EMERYVILLE
		STATE:			CA
		ZIP:			94608
</SEC-HEADER>
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<TYPE>D
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        <entityName>NovaBay Pharmaceuticals, Inc.</entityName>
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            <street2>Suite 1150</street2>
            <city>Emeryville</city>
            <stateOrCountry>CA</stateOrCountry>
            <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
            <zipCode>94608</zipCode>
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            <relatedPersonName>
                <firstName>JUSTIN</firstName>
                <lastName>HALL</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>2000 POWELL STREET</street1>
                <street2>SUITE 1150</street2>
                <city>EMERYVILLE</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>CEO AND GENERAL COUNSEL</relationshipClarification>
        </relatedPersonInfo>
        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>SWAN</firstName>
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                <lastName>ZHENG</lastName>
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                <street2>SUITE 1150</street2>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>JULIE</firstName>
                <lastName>GARLIKOV</lastName>
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                <street2>SUITE 1150</street2>
                <city>EMERYVILLE</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
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            <relatedPersonRelationshipList>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>TOMMY</firstName>
                <lastName>LAW</lastName>
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                <street2>SUITE 1150</street2>
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                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>INTERIM CFO</relationshipClarification>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>AUDREY</firstName>
                <lastName>KUNIN</lastName>
            </relatedPersonName>
            <relatedPersonAddress>
                <street1>4346 NW BELGIUM BLVD.</street1>
                <city>KANSAS CITY</city>
                <stateOrCountry>MO</stateOrCountry>
                <stateOrCountryDescription>MISSOURI</stateOrCountryDescription>
                <zipCode>64150</zipCode>
            </relatedPersonAddress>
            <relatedPersonRelationshipList>
                <relationship>Executive Officer</relationship>
                <relationship>Director</relationship>
            </relatedPersonRelationshipList>
            <relationshipClarification>CHIEF PRODUCT OFFICER</relationshipClarification>
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        <relatedPersonInfo>
            <relatedPersonName>
                <firstName>PAUL</firstName>
                <lastName>FREIMAN</lastName>
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                <street2>SUITE 1150</street2>
                <city>EMERYVILLE</city>
                <stateOrCountry>CA</stateOrCountry>
                <stateOrCountryDescription>CALIFORNIA</stateOrCountryDescription>
                <zipCode>94608</zipCode>
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        <relatedPersonInfo>
            <relatedPersonName>
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                <city>KANSAS CITY</city>
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                <zipCode>64150</zipCode>
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            <relatedPersonRelationshipList>
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            </relatedPersonRelationshipList>
            <relationshipClarification>PRESIDENT, DERMADOCTOR, LLC</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>2023-05-01</value>
            </dateOfFirstSale>
        </typeOfFiling>
        <durationOfOffering>
            <moreThanOneYear>false</moreThanOneYear>
        </durationOfOffering>
        <typesOfSecuritiesOffered>
            <isDebtType>true</isDebtType>
            <isOptionToAcquireType>true</isOptionToAcquireType>
            <isSecurityToBeAcquiredType>true</isSecurityToBeAcquiredType>
        </typesOfSecuritiesOffered>
        <businessCombinationTransaction>
            <isBusinessCombinationTransaction>false</isBusinessCombinationTransaction>
        </businessCombinationTransaction>
        <minimumInvestmentAccepted>0</minimumInvestmentAccepted>
        <salesCompensationList>
            <recipient>
                <recipientName>LADENBURG THALMANN &amp; CO. INC.</recipientName>
                <recipientCRDNumber>505</recipientCRDNumber>
                <associatedBDName>None</associatedBDName>
                <associatedBDCRDNumber>None</associatedBDCRDNumber>
                <recipientAddress>
                    <street1>640 FIFTH AVENUE</street1>
                    <street2>4TH FLOOR</street2>
                    <city>NEW YORK</city>
                    <stateOrCountry>NY</stateOrCountry>
                    <stateOrCountryDescription>NEW YORK</stateOrCountryDescription>
                    <zipCode>10009</zipCode>
                </recipientAddress>
                <statesOfSolicitationList>
                    <state>NV</state>
                    <description>NEVADA</description>
                    <state>NY</state>
                    <description>NEW YORK</description>
                </statesOfSolicitationList>
            </recipient>
        </salesCompensationList>
        <offeringSalesAmounts>
            <totalOfferingAmount>3000000</totalOfferingAmount>
            <totalAmountSold>3000000</totalAmountSold>
            <totalRemaining>0</totalRemaining>
        </offeringSalesAmounts>
        <investors>
            <hasNonAccreditedInvestors>false</hasNonAccreditedInvestors>
            <totalNumberAlreadyInvested>5</totalNumberAlreadyInvested>
        </investors>
        <salesCommissionsFindersFees>
            <salesCommissions>
                <dollarAmount>240000</dollarAmount>
            </salesCommissions>
            <findersFees>
                <dollarAmount>0</dollarAmount>
            </findersFees>
        </salesCommissionsFindersFees>
        <useOfProceeds>
            <grossProceedsUsed>
                <dollarAmount>0</dollarAmount>
            </grossProceedsUsed>
        </useOfProceeds>
        <signatureBlock>
            <authorizedRepresentative>false</authorizedRepresentative>
            <signature>
                <issuerName>NovaBay Pharmaceuticals, Inc.</issuerName>
                <signatureName>/s/ JUSTIN HALL</signatureName>
                <nameOfSigner>JUSTIN HALL</nameOfSigner>
                <signatureTitle>CEO AND GENERAL COUNSEL</signatureTitle>
                <signatureDate>2023-05-18</signatureDate>
            </signature>
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