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ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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(State or other jurisdiction of incorporation or
organization)
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(I.R.S. Employer Identification No.)
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Title of Each Class
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Trading Symbol(s)
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Name of Each Exchange On Which Registered
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Large accelerated filer
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☐
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Accelerated filer
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☐
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Emerging growth company
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☒
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Smaller reporting company
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Auditor firm ID | Auditor Name | Auditor Location |
PCAOB ID No. |
ITEM 15.
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EXHIBITS, FINANCIAL STATEMENT SCHEDULES
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Incorporation by Reference
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Filed
Herewith
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|||||
Exhibit
Number
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Exhibit Description
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Form
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File
Number
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Exhibit/
Form 8-K
Item
Reference
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Filing
Date
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|
2.1
|
8-K
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001-3678
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2.1
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9/28/2021
|
||
2.2
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8-K
|
001-3678
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2.1
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03/14/2024
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||
3.1
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10-K
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001-33678
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3.1
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3/21/2018
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||
3.2
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8-K
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001-33678
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3.1
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6/04/2018
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||
3.3
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8-K
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001-33678
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3.1
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5/28/2020
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||
3.4
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8-K
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001-33678
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3.1
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5/24/2021
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||
3.5
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8-K
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001-33678
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3.1
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2/1/2022
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||
3.6
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8-K
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001-33678
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3.1
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11/18/2022
|
||
3.7
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8-K
|
001-33678
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3.1
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11/1/2021
|
||
3.8
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8-K
|
001-33678
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3.2
|
11/18/2022
|
||
3.9
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10-K
|
001-33678
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3.7
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6/14/2023
|
||
4.1
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10-K
|
001-33678
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4.1
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3/31/2023
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||
4.2
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8-K
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001-33678
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4.1
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5/18/2020
|
||
4.3
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8-K
|
001-33678
|
4.1
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7/21/2020
|
||
4.4
|
8-K
|
001-33678
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4.1
|
9/13/2022
|
||
4.5
|
8-K
|
001-33678
|
4.2
|
9/13/2022
|
||
4.6
|
8-K
|
001-33678
|
4.3
|
9/13/2022
|
||
4.7
|
8-K
|
001-33678
|
4.4
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9/13/2022
|
||
4.8
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8-K
|
001-33678
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4.5
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9/13/2022
|
||
4.9
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8-K
|
001-33678
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4.6
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9/13/2022
|
||
4.10
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8-K
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001-33678
|
4.1
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4/27/2023
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||
4.11
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8-K
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001-33678
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4.2
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4/27/2023
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4.12
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8-K
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001-33678
|
4.3
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4/27/2023
|
||
4.13
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8-K
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001-33678
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4.4
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4/27/2023
|
||
4.14
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8-K
|
001-33678
|
4.1
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12/21/2023
|
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4.15
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8-K
|
001-33678
|
4.2
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3/25/2024
|
||
4.16
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8-K
|
001-33678
|
4.3
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3/25/2024
|
||
10.1
|
10-K
|
001-33678
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10.1
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3/29/2022
|
||
10.2+
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S-8
|
333-215680
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99.1
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1/24/2017
|
||
10.3+
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S-8
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333-218469
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99.1
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6/02/2017
|
||
10.4+
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S-8
|
333-218469
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99.2
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6/02/2017
|
||
10.5+
|
8-K
|
001-33678
|
10.1
|
2/6/2020
|
||
10.6+
|
8-K
|
001-33678
|
10.6
|
1/28/2022
|
||
10.7+
|
8-K
|
001-33678
|
10.3
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12/11/2023
|
||
10.8+
|
10-K
|
001-33678
|
10.8
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3/26/2024
|
||
10.9
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8-K
|
001-33678
|
10.1
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8/26/2016
|
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10.10
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8-K
|
001-33678
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10.2
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1/28/2022
|
||
10.11†
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10-K
|
001-33678
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10.18
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3/27/2012
|
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10.12
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8-K
|
001-33678
|
1.1
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5/14/2021
|
||
10.13
|
8-K
|
001-33678
|
10.1
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7/21/2020
|
||
10.14
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8-K
|
001-33678
|
10.2
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7/21/2020
|
||
10.15
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8-K
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001-33678
|
10.3
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7/21/2020
|
||
10.16
|
8-K
|
001-33678
|
1.1
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11/01/2021
|
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10.17
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8-K
|
001-33678
|
10.1
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11/01/2021
|
||
10.18
|
8-K
|
001-33678
|
10.1
|
9/13/2022
|
||
10.19
|
8-K
|
001-33678
|
10.2
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9/13/2022
|
||
10.20
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8-K
|
001-33678
|
10.3
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9/13/2022
|
||
10.21
|
8-K
|
001-33678
|
10.4
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9/13/2022
|
||
10.22+
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8-K
|
001-33678
|
10.8
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3/31/2023
|
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10.23
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8-K
|
001-33678
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10.1
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12/21/2023
|
||
10.24*
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8-K
|
001-33678
|
10.1
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1/05/2024
|
||
10.25
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8-K
|
001-33678
|
10.1
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4/27/2023
|
||
10.26*
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8-K
|
001-33678
|
10.2
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4/27/2023
|
||
10.27*
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8-K
|
001-33678
|
10.3
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3/25/2024
|
||
10.28
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8-K
|
001-33678
|
10.3
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4/27/2023
|
||
10.29*
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8-K
|
001-33678
|
10.4
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3/25/2024
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10.30
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8-K
|
001-33678
|
10.4
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4/27/2023
|
||
10.31
|
8-K
|
001-33678
|
10.5
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4/27/2023
|
||
21
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10-K
|
001-33678
|
21
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3/26/2024
|
||
23.1
|
10-K
|
001-33678
|
23.1
|
3/26/2024
|
||
31.1
|
X
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|||||
31.2
|
X
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|||||
32.1
|
X
|
|||||
32.2
|
X
|
|||||
97
|
10-K
|
001-33678
|
97
|
3/26/2024
|
||
101.INS
|
Inline XBRL Instance Document
|
X
|
||||
101.SCH
|
Inline XBRL Taxonomy Extension Schema Document
|
X
|
||||
101.CAL
|
Inline XBRL Taxonomy Extension Calculation Linkbase Document
|
X
|
||||
101.DEF
|
Inline XBRL Taxonomy Extension Definition Linkbase
|
X
|
||||
101.LAB
|
Inline XBRL Taxonomy Extension Labels Linkbase Document
|
X
|
||||
101.PRE
|
Inline XBRL Taxonomy Extension Presentation Linkbase Document
|
X
|
||||
104
|
The Cover Page Interactive Data File, formatted in Inline XBRL (included within the Exhibit 101 attachments)
|
X
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+
|
Indicates a management contract or compensatory plan or arrangement
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†
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NovaBay Pharmaceuticals, Inc. has been granted confidential treatment with respect to certain portions of this exhibit (indicated by asterisks), which have been separately filed with the Securities and Exchange Commission.
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*
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Certain confidential portions of this exhibit were omitted by means of marking such portions with brackets because the confidential portions (i) are not material and (ii) would be competitively harmful if publicly disclosed.
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Date: March 29, 2024
|
||
By:
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/s/ Justin Hall
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Justin Hall
Chief Executive Officer, General Counsel and Director
(principal executive officer)
|
Exhibit 31.1
CERTIFICATION PURSUANT TO EXCHANGE ACT
RULE 13a-14(a)/15d-14(a), AS ADOPTED PURSUANT TO
SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
I, Justin Hall, certify that:
1. I have reviewed this Form 10-K/A of NovaBay Pharmaceuticals, Inc.;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
Date: March 29, 2024
/s/ Justin Hall |
|
Justin Hall |
|
Chief Executive Officer, General Counsel and Director (principal executive officer) |
Exhibit 31.2
CERTIFICATION PURSUANT TO EXCHANGE ACT
RULE 13a-14(a)/15d-14(a), AS ADOPTED PURSUANT TO
SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
I, Tommy Law, certify that:
1. I have reviewed this Form 10-K/A of NovaBay Pharmaceuticals, Inc.;
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
Date: March 29, 2024
/s/ Tommy Law |
|
Tommy Law |
|
Interim Chief Financial Officer |
|
(principal financial officer) |
Exhibit 32.1
CERTIFICATION PURSUANT TO 18 U.S.C. §1350,
AS ADOPTED PURSUANT TO
SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
In connection with the annual report of NovaBay Pharmaceuticals, Inc. (the Company) on Form 10-K/A for the fiscal year ended December 31, 2023 (the Report), I, Justin Hall, Chief Executive Officer of the Company, certify, pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the best of my knowledge:
1. The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and
2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.
Date: March 29, 2024
/s/ Justin Hall |
|
Justin Hall |
|
Chief Executive Officer, General Counsel and Director |
This Certification is made solely for the purpose of 18 USC Section 1350, subject to the knowledge standard contained therein, and not for any other purpose.
Exhibit 32.2
CERTIFICATION PURSUANT TO 18 U.S.C. §1350,
AS ADOPTED PURSUANT TO
SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002
In connection with the annual report of NovaBay Pharmaceuticals, Inc. (the Company) on Form 10-K/A for the fiscal year ended December 31, 2023 (the Report), I, Tommy Law, Interim Chief Financial Officer of the Company, certify, pursuant to 18 U.S.C. §1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that to the best of my knowledge:
1. The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934; and
2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company.
Date: March 29, 2024
/s/ Tommy Law |
Tommy Law
Interim Chief Financial Officer
This Certification is made solely for the purpose of 18 USC Section 1350, subject to the knowledge standard contained therein, and not for any other purpose.
Document And Entity Information - USD ($) |
12 Months Ended | ||
---|---|---|---|
Dec. 31, 2023 |
Mar. 21, 2024 |
Jun. 30, 2023 |
|
Document Information [Line Items] | |||
Entity, Registrant Name | NOVABAY PHARMACEUTICALS, INC. | ||
Document, Type | 10-K/A | ||
Document, Annual Report | true | ||
Document, Period End Date | Dec. 31, 2023 | ||
Current Fiscal Year End Date | --12-31 | ||
Document, Fiscal Period Focus | FY | ||
Document, Fiscal Year Focus | 2023 | ||
Document, Transition Report | false | ||
Entity, File Number | 001-33678 | ||
Entity, Incorporation, State or Country Code | DE | ||
Entity, Tax Identification Number | 68-0454536 | ||
Entity, Address, Address Line One | 2000 Powell Street, Suite 1150 | ||
Entity, Address, City or Town | Emeryville | ||
Entity, Address, State or Province | CA | ||
Entity, Address, Postal Zip Code | 94608 | ||
City Area Code | 510 | ||
Local Phone Number | 899-8800 | ||
Title of 12(b) Security | Common Stock | ||
Trading Symbol | NBY | ||
Security Exchange Name | NYSE | ||
Entity, Well-known Seasoned Issuer | No | ||
Entity, Voluntary Filers | No | ||
Entity, Current Reporting Status | Yes | ||
Entity, Interactive Data, Current | Yes | ||
Entity, Emerging Growth Company | false | ||
Entity, Filer Category | Non-accelerated Filer | ||
Entity, Small Business | true | ||
ICFR Auditor Attestation Flag | false | ||
Document, Financial Statement Error Correction Flag | false | ||
Entity, Shell Company | false | ||
Entity, Public Float | $ 3,050,485 | ||
Entity, Common Stock Shares, Outstanding | 30,098,150 | ||
Auditor Firm ID | 100 | ||
Auditor Name | WithumSmith+Brown, PC | ||
Auditor Location | San Francisco, California | ||
Amendment Description | This Amendment No. 1 on Form 10-K/A (this “Amendment”) amends the Annual Report on Form 10-K of NovaBay Pharmaceuticals, Inc. for the fiscal year ended December 31, 2023, as filed with the Securities and Exchange Commission on March 26, 2024 (the “Original Filing”). Exhibit 4.1 (Description of Securities) (the “Description of Securities”) was inadvertently omitted in the Original Filing. This Amendment is being filed solely to file the Description of Securities. No other changes were made to the Original Filing. Further, no attempt has been made in this Amendment to modify or update the other disclosures presented in the Original Filing. This Amendment does not reflect events occurring after the filing of the Form 10-K (i.e., occurring after March 26, 2024) or modify or update those disclosures that may be affected by subsequent events. Accordingly, this Amendment should be read in conjunction with the Original Filing and the registrant’s other filings with the Securities and Exchange Commission. In accordance with Rule 12b-15 of the Securities Exchange Act of 1934, as amended, this Amendment includes new certifications required by Sections 302 and 906 of the Sarbanes-Oxley Act of 2002, as amended, dated as of the filing date of this Amendment. | ||
Amendment Flag | true | ||
Entity, Central Index Key | 0001389545 |
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