<SEC-DOCUMENT>0001437749-25-032856.txt : 20251103
<SEC-HEADER>0001437749-25-032856.hdr.sgml : 20251103
<ACCEPTANCE-DATETIME>20251103213923
ACCESSION NUMBER:		0001437749-25-032856
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20251016
FILED AS OF DATE:		20251103
DATE AS OF CHANGE:		20251103

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Framework Ventures Management LLC
		CENTRAL INDEX KEY:			0002091751
		ORGANIZATION NAME:           	
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33678
		FILM NUMBER:		251446130

	BUSINESS ADDRESS:	
		STREET 1:		C/O FRAMEWORK VENTURES
		STREET 2:		600 MONTGOMERY STREET. 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111
		BUSINESS PHONE:		628-233-0357

	MAIL ADDRESS:	
		STREET 1:		C/O FRAMEWORK VENTURES
		STREET 2:		600 MONTGOMERY STREET. 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Framework Ventures IV L.P.
		CENTRAL INDEX KEY:			0002028474
		ORGANIZATION NAME:           	
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33678
		FILM NUMBER:		251446131

	BUSINESS ADDRESS:	
		STREET 1:		600 MONTGOMERY STREET, 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111
		BUSINESS PHONE:		(628) 233-0357

	MAIL ADDRESS:	
		STREET 1:		600 MONTGOMERY STREET, 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Anderson Michael Ernest
		CENTRAL INDEX KEY:			0002093174
		ORGANIZATION NAME:           	

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33678
		FILM NUMBER:		251446127

	MAIL ADDRESS:	
		STREET 1:		C/O FRAMEWORK VENTURES
		STREET 2:		600 MONTGOMERY STREET, 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Spencer Vance
		CENTRAL INDEX KEY:			0002092030
		ORGANIZATION NAME:           	

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33678
		FILM NUMBER:		251446128

	MAIL ADDRESS:	
		STREET 1:		C/O FRAMEWORK VENTURES
		STREET 2:		600 MONTGOMERY STREET, 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Framework Ventures IV GP LLC
		CENTRAL INDEX KEY:			0002092591
		ORGANIZATION NAME:           	
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33678
		FILM NUMBER:		251446129

	BUSINESS ADDRESS:	
		STREET 1:		C/O FRAMEWORK VENTURES
		STREET 2:		600 MONTGOMERY STREET. 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111
		BUSINESS PHONE:		628-233-0357

	MAIL ADDRESS:	
		STREET 1:		C/O FRAMEWORK VENTURES
		STREET 2:		600 MONTGOMERY STREET. 42ND FLOOR
		CITY:			SAN FRANCISCO
		STATE:			CA
		ZIP:			94111

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			NovaBay Pharmaceuticals, Inc.
		CENTRAL INDEX KEY:			0001389545
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		ORGANIZATION NAME:           	03 Life Sciences
		EIN:				680454536
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	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>4
<SEQUENCE>1
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<DESCRIPTION>FORM 4
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    <schemaVersion>X0508</schemaVersion>

    <documentType>4</documentType>

    <periodOfReport>2025-10-16</periodOfReport>

    <issuer>
        <issuerCik>0001389545</issuerCik>
        <issuerName>NovaBay Pharmaceuticals, Inc.</issuerName>
        <issuerTradingSymbol>NBY</issuerTradingSymbol>
    </issuer>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0002028474</rptOwnerCik>
            <rptOwnerName>Framework Ventures IV L.P.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>600 MONTGOMERY STREET, FLOOR 42</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94111</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isTenPercentOwner>1</isTenPercentOwner>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0002091751</rptOwnerCik>
            <rptOwnerName>Framework Ventures Management LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>600 MONTGOMERY STREET, FLOOR 42</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94111</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isTenPercentOwner>1</isTenPercentOwner>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0002092591</rptOwnerCik>
            <rptOwnerName>Framework Ventures IV GP LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>600 MONTGOMERY STREET, FLOOR 42</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94111</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isTenPercentOwner>1</isTenPercentOwner>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0002092030</rptOwnerCik>
            <rptOwnerName>Spencer Vance</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>600 MONTGOMERY STREET, FLOOR 42</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94111</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isTenPercentOwner>1</isTenPercentOwner>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0002093174</rptOwnerCik>
            <rptOwnerName>Anderson Michael Ernest</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>600 MONTGOMERY STREET, FLOOR 42</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94111</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isTenPercentOwner>1</isTenPercentOwner>
        </reportingOwnerRelationship>
    </reportingOwner>

    <aff10b5One>0</aff10b5One>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2025-10-21</value>
                <footnoteId id="F1"/>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>C</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>56806080</value>
                    <footnoteId id="F1"/>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                    <footnoteId id="F1"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>56806080</value>
                    <footnoteId id="F1"/>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F2"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
    </nonDerivativeTable>

    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>Pre-Funded Warrants (Right to Buy)</value>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>0.01</value>
                <footnoteId id="F3"/>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2025-10-16</value>
                <footnoteId id="F3"/>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>P</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>2702703</value>
                    <footnoteId id="F3"/>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <value>2026-01-01</value>
                <footnoteId id="F3"/>
            </exerciseDate>
            <expirationDate>
                <footnoteId id="F3"/>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>2702703</value>
                    <footnoteId id="F3"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>2702703</value>
                    <footnoteId id="F3"/>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F2"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">This represents (i) the conversion of 220,663 shares of the Issuer's Series D Non-Voting Convertible Preferred Stock, par value $0.01 per share (the &quot;Series D Preferred Stock&quot;) into 35,306,080 shares of the Issuer's common stock, par value $0.01 per share (the &quot;Common Stock&quot;) and (ii) the conversion of 134,375 shares of the Issuer's Series E Non-Voting Convertible Preferred Stock, par value $0.01 per share (the &quot;Series E Preferred Stock&quot;) into 21,500,000 shares of the Issuer's Common Stock, both of which occurred on October 21, 2025 following stockholder approval at the Issuer's annual meeting on October 16, 2025 of proposals 5 and 9 set forth in the Issuer's Definitive Proxy Statement on Schedule 14A, filed by the Issuer with the Securities and Exchange Commission on September 23, 2025.</footnote>
        <footnote id="F2">The reported securities may also be deemed to be beneficially owned by Framework Ventures GP IV LLC (&quot;Framework GP&quot;), Framework Ventures Management LLC (&quot;Framework Management&quot;), Vance Spencer (&quot;Mr. Spencer&quot;) and Michael Ernest Anderson (&quot;Mr. Anderson&quot; and together with Framework GP, Framework Management, Mr. Spencer and the Reporting Person, the &quot;Framework Entities&quot;), each of which or whom disclaim beneficial ownership of these shares, except to the extent of its or his pecuniary interest in such shares, if any. Framework GP is the general partner of the Reporting Person. Framework Management is the investment manager for Framework GP. Mr. Spencer and Mr. Anderson are members and the managers of Framework GP and the managing members of Framework Management.</footnote>
        <footnote id="F3">On October 16, 2025, the Issuer issued and sold to the Reporting Person pre-funded warrants (the &quot;Pre-Funded Warrants&quot;) to purchase an aggregate 2,702,703 shares of the Issuer's Common Stock. The purchase price was $1.10 per warrant, representing 110% of the closing price of the Common Stock on the day before the issuance, less the $0.01 exercise price for each warrant. The Pre-Funded Warrants have no expiration date and are exercisable for shares of Common Stock at any time after January 1, 2026, subject to receipt of stockholder approval.</footnote>
    </footnotes>

    <remarks>Exhibit 99.1 - Joint Filing Agreement (incorporated by reference to Exhibit 99.1 for Form 4 filed with the Securities and Exchange Commission filed on October 20, 2025).</remarks>

    <ownerSignature>
        <signatureName>/s/ Michael Ernest Anderson - Framework Ventures IV L.P. - Authorized Signatory</signatureName>
        <signatureDate>2025-11-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Michael Ernest Anderson - Framework Ventures Management LLC - Authorized Signatory</signatureName>
        <signatureDate>2025-11-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Michael Ernest Anderson - Framework Ventures IV GP LLC - Authorized Signatory</signatureName>
        <signatureDate>2025-11-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Vance Spencer</signatureName>
        <signatureDate>2025-11-03</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Michael Ernest Anderson</signatureName>
        <signatureDate>2025-11-03</signatureDate>
    </ownerSignature>
</ownershipDocument>
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