POS EX 1 nby20240726_posex.htm FORM POS EX nby20240726_posex.htm

As filed with the Securities and Exchange Commission on July 26, 2024

 

Registration No. 333-280423

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

POST-EFFECTIVE AMENDMENT NO. 1

TO

FORM S-1

REGISTRATION STATEMENT
UNDER THE SECURITIES ACT OF 1933

 

NOVABAY PHARMACEUTICALS, INC.
(Exact name of registrant as specified in its charter)

 

Delaware

2834

68-0454536

(State or other jurisdiction of

incorporation or organization)

(Primary Standard Industrial

Classification Code Number)

(I.R.S. Employer

Identification No.)

 

2000 Powell Street, Suite 1150
Emeryville, CA 94608

(510) 899-8800

(Address, including zip code, and telephone number,
including area code, of registrant’s principal executive offices)

 

Justin M. Hall, Esq.
Chief Executive Officer and General Counsel
2000 Powell Street, Suite 1150
Emeryville, CA 94608
(510) 899-8800

(Name, address, including zip code, and telephone number,
including area code, of agent for service)

 

Copies to:

 

Abby E. Brown, Esq.

Squire Patton Boggs (US) LLP

2550 M Street, NW

Washington, DC 20037

(202) 457-6000

Michael F. Nertney, Esq.

Ellenoff Grossman & Schole LLP

1345 Avenue of the Americas

New York, NY 10105-0302

(212) 370-1300

 

Approximate date of commencement of proposed sale to the public: As soon as practicable after the effective date of this Registration Statement.

 

If any of the securities being registered on this Form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. ☒

 

If this Form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

If this Form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. ☐

 

If this Form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering.  ☒ 333-280423

 

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.

 

Large Accelerated Filer ☐

Accelerated Filer ☐

 

Non-Accelerated Filer ☒

Smaller Reporting Company ☒

 
 

Emerging Growth Company ☐

 

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided to Section 7(a)(2)(B) of the Securities Act. ☐

 


 

The Registration Statement shall become automatically effective upon filing in accordance with Rule 462(d) promulgated under the Securities Act of 1933, as amended.

 


 

 

 

 

EXPLANATORY NOTE

 

This Post-Effective Amendment No. 1 (“Amendment No. 1”) to the Registration Statement on Form S-1, as amended (File No. 333-280423), declared effective by the Securities and Exchange Commission on July 25, 2024 (“Registration Statement”), is being filed solely for the purpose of replacing Exhibit 5.1 the Registration Statement. This Amendment No. 1 does not modify any provision of Part I or Part II of the Registration Statement other than Item 16(a) of Part II as set forth below.

 

 

ITEM 16. Exhibits and Financial Statement Schedules.

 

 

(a)

The following exhibits are filed as part of this Registration Statement:

 

   

Incorporated by Reference

 

Exhibit

Number

Exhibit Description

Form

File
Number

Exhibit

Number

Filing

Date

Filed

Herewith

5.1

Opinion of Squire Patton Boggs (US) LLP

       

X

23.1

Consent of Squire Patton Boggs (US) LLP (included in Exhibit 5.1)

       

X

24.1

Power of Attorney

S-1

333-280423

24.1

6/21/2024

 

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, as amended, the registrant has duly caused this Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized in the City of Emeryville, State of California, on July 26, 2024.

 

 

NOVABAY PHARMACEUTICALS, INC.

 
     
     
 

/s/ Justin M. Hall

 
 

Justin M. Hall

 
 

Chief Executive Officer and General Counsel

 

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Act of 1933, this registration statement has been signed below by the following persons in the capacities and on the dates indicated.

 

Signature

 

Title

 

Date

/s/ Justin M. Hall

 

Chief Executive Officer, General Counsel and Director

 

July 26, 2024

Justin M. Hall

 

(principal executive officer)

   
         

/s/ Tommy Law

 

Interim Chief Financial Officer

 

July 26, 2024

Tommy Law

 

(principal financial and accounting officer)

   
         

*

 

Chairman

 

July 26, 2024

Paul E. Freiman, Ph.D.

       
         

*

 

Director

 

July 26, 2024

Julie Garlikov

       
         

*

 

Director

 

July 26, 2024

Swan Sit

       
         

*

 

Director

 

July 26, 2024

Mijia (Bob) Wu

       
         

*

 

Director

 

July 26, 2024

Yenyou (Jeff) Zheng, Ph.D.

       
         

*

 

Director

 

July 26, 2024

Yongxiang (Sean) Zheng

       
         

* By: /s/ Justin M. Hall

       

Name: Justin M. Hall

       

Title: Attorney-in-Fact