<SEC-DOCUMENT>0001437749-25-010321.txt : 20250401
<SEC-HEADER>0001437749-25-010321.hdr.sgml : 20250401
<ACCEPTANCE-DATETIME>20250331190135
ACCESSION NUMBER:		0001437749-25-010321
CONFORMED SUBMISSION TYPE:	NT 10-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20241231
FILED AS OF DATE:		20250401
DATE AS OF CHANGE:		20250331
EFFECTIVENESS DATE:		20250401

FILER:

	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

	FILING VALUES:
		FORM TYPE:		NT 10-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-33678
		FILM NUMBER:		25795900

	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>
<DOCUMENT>
<TYPE>NT 10-K
<SEQUENCE>1
<FILENAME>nby20250331_nt10k.htm
<DESCRIPTION>FORM NT 10-K
<TEXT>
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<p style="font-family: Times New Roman; font-size: 16pt; font-variant: normal; text-align: center; margin: 0pt;"><b>UNITED STATES</b></p>

<p style="font-family: Times New Roman; font-size: 16pt; font-variant: normal; text-align: center; margin: 0pt;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Washington, D.C. 20549</b></p>

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<p style="font-family: Times New Roman; font-size: 16pt; font-variant: normal; text-align: center; margin: 0pt;"><b>FORM 12b-25</b></p>

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<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>NOTIFICATION OF LATE FILING</b></p>

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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:right;margin:0pt;"><i>(Check one):</i>&#8195;</p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">&#9746;&nbsp;Form&nbsp;10-K&#8195;&nbsp;&#9744;&nbsp;Form&nbsp;20-F&#8195;&nbsp;&#9744;&nbsp;Form&nbsp;11-K&#8195;&nbsp;&#9744;&nbsp;Form&nbsp;10-Q</p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">&#9744;&nbsp;Form&nbsp;10-D&#8195;&nbsp;&#9744;&nbsp;Form&nbsp;N-CEN&#8195;&nbsp;&#9744;&nbsp;Form&nbsp;N-CSR</p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">For&nbsp;Period&nbsp;Ended: December 31, 2024</p>
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			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:69.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">&#9744;&nbsp;Transition Report on Form&nbsp;10-K</p>
			</td>
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			<td colspan="2" style="vertical-align:top;width:71%;">&nbsp;</td>
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			<td style="vertical-align:bottom;width:69.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">&#9744;&nbsp;Transition Report on Form&nbsp;20-F</p>
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			<td style="vertical-align:bottom;width:69.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">&#9744;&nbsp;Transition Report on Form&nbsp;11-K</p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">&#9744;&nbsp;Transition Report on Form&nbsp;10-Q</p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">For&nbsp;the&nbsp;Transition&nbsp;Period&nbsp;Ended: <u>&#8195;</u><u>&#8195;</u><u>&#8195;</u><u>&#8195;</u><u>&#8195;</u></p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><i>Read Instruction (on back page) Before Preparing Form. Please Print or Type.</i></p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.</b></p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">&nbsp;</p>
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<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>PART I </b>&#8212;<b> REGISTRANT INFORMATION</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family: Times New Roman; font-size: 22pt; font-variant: normal; text-align: center; margin: 0pt;"><b>NovaBay Pharmaceuticals, Inc.</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">Full Name of Registrant</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>N/A</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">Former Name if Applicable</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>2000 Powell Street, Suite 1150</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">Address of Principal Executive Office <i>(Street and Number)</i></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Emeryville,</b>&nbsp;<b>California</b>&nbsp;<b>94608</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">City, State and Zip Code</p>

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<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>PART II </b>&#8212;<b> RULES 12b-25(b) AND (c)</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate)</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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			<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&#9746;</p>
			</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:top;width:2.7%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(a)</p>
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			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:top;width:91.5%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;</p>
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			<td style="vertical-align:top;width:2.7%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(b)</p>
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			<td style="vertical-align:top;width:91.5%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-CEN or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and</p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(c)</p>
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			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:top;width:91.5%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">The accountant&#8217;s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.</p>
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<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>PART III </b>&#8212;<b> NARRATIVE</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">State below in reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-CEN, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period.</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family: Times New Roman; font-size: 10pt; font-variant: normal; margin: 0pt;">NovaBay Pharmaceuticals, Inc. (the &#8220;Company&#8221;) has determined that it is unable to file, without unreasonable effort or expense, its Annual Report on Form 10-K for the fiscal year ended December 31, 2024 (the &#8220;Form 10-K&#8221;) by the prescribed filing due date of March 31, 2025 because the Company requires additional time to gather necessary information to complete certain processes and closing procedures for the filing of the Form 10-K. The Company is working diligently and expects to file the Form 10-K on or before the expiration of the fifteen-calendar day extension period provided in Rule 12b-25 of the Securities Exchange Act of 1934, as amended.</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>PART IV </b>&#8212;<b> OTHER INFORMATION</b></p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

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			<td style="vertical-align:top;width:2%;">&nbsp;</td>
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			<td style="vertical-align:top;width:2%;">&nbsp;</td>
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			<td style="vertical-align:top;width:38.8%;">&nbsp;</td>
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			<td style="vertical-align:top;width:2.6%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(1)</p>
			</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">
			<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&#8195;</p>
			</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td colspan="9" style="vertical-align:bottom;width:93%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Name and telephone number of person to contact in regard to this notification</p>
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			<td colspan="2" style="vertical-align:top;width:3.2%;">&nbsp;</td>
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			<td colspan="2" style="vertical-align:top;width:3.2%;">&nbsp;</td>
			<td colspan="2" style="vertical-align:top;width:8.8%;">&nbsp;</td>
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			<td style="vertical-align:top;width:2.6%;">&nbsp;</td>
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			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:bottom;width:37.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">Justin M. Hall</p>
			</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">
			<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&#8195;</p>
			</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:bottom;width:7.6%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">510</p>
			</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">
			<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&#8195;</p>
			</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:bottom;width:38.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">899-8800</p>
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			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:37.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(Name)</p>
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			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:7.6%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(Area&nbsp;Code)</p>
			</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:38.8%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(Telephone&nbsp;Number)</p>
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			<td style="vertical-align:top;width:2.6%;">&nbsp;</td>
			<td colspan="2" style="vertical-align:top;width:3.2%;">&nbsp;</td>
			<td colspan="10" style="vertical-align:top;width:94.2%;">&nbsp;</td>
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			<td style="vertical-align:top;width:2.6%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(2)</p>
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			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td colspan="9" style="vertical-align:bottom;width:93%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Have all other periodic reports required under Section&nbsp;13 or 15(d) of the Securities Exchange Act of 1934 or Section&nbsp;30 of the Investment Company Act of 1940 during the preceding 12&nbsp;months or for such shorter period that the registrant was required to file such report(s) been filed? If answer is no, identify report(s).&#8195;Yes&nbsp;&#9746;&#8195;No&nbsp;&#9744;</p>
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			<td style="vertical-align:top;width:2.6%;">&nbsp;</td>
			<td colspan="2" style="vertical-align:top;width:3.2%;">&nbsp;</td>
			<td colspan="10" style="vertical-align:top;width:94.2%;">&nbsp;</td>
		</tr>
		<tr>
			<td style="vertical-align:top;width:2.6%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="border-bottom:solid 1px #000000;vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td colspan="9" style="border-bottom:solid 1px #000000;vertical-align:bottom;width:93%;">
			<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&#8195;</p>
			</td>
		</tr>
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			<td style="vertical-align:top;width:2.6%;">&nbsp;</td>
			<td colspan="2" style="vertical-align:top;width:3.2%;">&nbsp;</td>
			<td colspan="10" style="vertical-align:top;width:94.2%;">&nbsp;</td>
		</tr>
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			<td style="vertical-align:top;width:2.6%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">(3)</p>
			</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td colspan="9" style="vertical-align:bottom;width:93%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof?&#8195;Yes&nbsp;&#9744;&#8195;No&nbsp;&#9746;</p>
			</td>
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			<td style="vertical-align:top;width:2.6%;">&nbsp;</td>
			<td colspan="2" style="vertical-align:top;width:3.2%;">&nbsp;</td>
			<td colspan="10" style="vertical-align:top;width:94.2%;">&nbsp;</td>
		</tr>
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			<td style="vertical-align:top;width:2.6%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:2%;">&nbsp;</td>
			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
			<td colspan="9" style="vertical-align:bottom;width:93%;">
			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.</p>
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<p style="font-family: Times New Roman; font-size: 10pt; font-variant: normal; margin: 0pt; text-align: center;"><b>NovaBay Pharmaceuticals, Inc.</b></p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">(Name of Regstrant as Specified in Charter)</p>

<p style="font-family:'Times New Roman';font-size:10pt;font-variant:normal;margin:0pt;">&nbsp;</p>

<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.</p>

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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Date: March 31, 2025</p>
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			<td style="vertical-align:bottom;width:1.2%;">&nbsp;</td>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">By:</p>
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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;"><u>/s/Justin M. Hall</u></p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Justin M. Hall</p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">Chief Executive Officer, General Counsel and Director</p>
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<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;margin:0pt;">INSTRUCTION: The form may be signed by an executive officer of the registrant or by any other duly authorized representative. The name and title of the person signing the form shall be typed or printed beneath the signature. If the statement is signed on behalf of the registrant by an authorized representative (other than an executive officer), evidence of the representative&#8217;s authority to sign on behalf of the registrant shall be filed with the form.&nbsp;</p>

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			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>ATTENTION</b></p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;">&nbsp;</p>

			<p style="font-family:Times New Roman;font-size:10pt;font-variant:normal;text-align:center;margin:0pt;"><b>Intentional misstatements or omissions of fact constitute Federal Criminal Violations (See</b>&nbsp;<b>18</b>&nbsp;<b>U.S.C.</b>&nbsp;<b>1001).</b></p>

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