Filing Details
- Accession Number:
- 0001437749-13-000029
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-01-02 15:25:17
- Reporting Period:
- 2012-10-31
- Filing Date:
- 2013-01-02
- Accepted Time:
- 2013-01-02 15:25:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1565534 | Xinzhou Li | 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 | The shares are held by Pioneer Pharma (Singapore) Pte. Ltd., a 100% wholly owned subsidiary of Naqu |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | The shares are held by Pioneer Pharma (Singapore) Pte. Ltd., a 100% wholly owned subsidiary of Naqu |
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 | 2012-10-31 | 2013-08-31 | No | 4 | P | Indirect |
Footnotes
- The shares are held directly by Pioneer Pharma (Singapore) Pte. Ltd. who is a 100% wholly owned subsidiary of Naqu Area Pioneer Pharma, Co. Ltd. (NAQU) and Mr. Paul Li is the sole owner of the NAQU hence Mr. Paul Li may be deemed to beneficially own the warrants held by Pioneer Pharma (Singapore) Pte. Ltd.
- Warrant to purchase common stock
- The warrants are held directly by Pioneer Pharma (Singapore) Pte. Ltd. who is a 100% wholly owned subsidiary of Naqu Area Pioneer Pharma, Co. Ltd. (NAQU) and Mr. Paul Li is the sole owner of the NAQU hence Mr. Paul Li may be deemed to beneficially own the warrants held by Pioneer Pharma (Singapore) Pte. Ltd.
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