Filing Details
- Accession Number:
- 0001437749-12-012015
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-11-20 14:14:24
- Reporting Period:
- 2012-10-31
- Filing Date:
- 2012-11-20
- Accepted Time:
- 2012-11-20 14:14:24
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1389545 | Novabay Pharmaceuticals Inc. | NBY | Pharmaceutical Preparations (2834) | 680454536 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1561909 | Naqu Area Pioneer Pharma Co., Ltd. | No. 1000, Wangqiao Road, Pudong Area Shanghai, P.r. Of China 201201 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2012-10-31 | 1,200,000 | $1.25 | 2,000,000 | No | 4 | P | Indirect | Shares are held directly by Pioneer Pharma (Singapore) Pte. Ltd. Pioneer Pharma (Singapore) Pte. Lt |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Shares are held directly by Pioneer Pharma (Singapore) Pte. Ltd. Pioneer Pharma (Singapore) Pte. Lt |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Acquisiton | 2012-10-31 | 1,200,000 | $1.50 | 1,200,000 | $1.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 2,000,000 | 2012-11-01 | 2012-08-31 | No | 4 | P | Indirect |
Footnotes
- The 2,000,000 shares of NovaBay's common stock held directly by Pioneer Pharma (Singapore) Pte. Ltd. Pioneer Pharma (Singapore) Pte. Ltd. is a 100% wholly-owned subsidiary of Naqu Area Pioneer Pharma Co. Ltd. and, as a result, Naqu Area Pioneer Pharma Co. Ltd. may be deemed to beneficially own the shares held by Pioneer Pharma (Singapore) Pte. Ltd.
- Warrant to purchase common stock
- The warrant to purchase NovaBay's common stock held directly by Pioneer Pharma (Singapore) Pte. Ltd. Pioneer Pharma (Singapore) Pte. Ltd. is a 100% wholly-owned subsidiary of Naqu Area Pioneer Pharma Co. Ltd. and, as a result, Naqu Area Pioneer Pharma Co. Ltd. may be deemed to beneficially own the shares held by Pioneer Pharma (Singapore) Pte. Ltd.
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