Filing Details
- Accession Number:
- 0001437749-13-015659
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-12-04 18:52:36
- Reporting Period:
- 2013-12-02
- Filing Date:
- 2013-12-04
- Accepted Time:
- 2013-12-04 18:52:36
- 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 |
|---|---|---|---|---|---|---|---|
| 1593299 | Ltd Holdings Pharma Pioneer China | 190 Elgin Ave Georgetown Grand Cayman, Cayman Islands KY1-9005 | 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 | 2013-12-02 | 5,000,000 | $1.14 | 7,005,656 | No | 4 | P | Indirect | By Pioneer Pharma (Singapore) Pte. Ltd. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | By Pioneer Pharma (Singapore) Pte. Ltd. |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Common Stock Purchase Warrant (Right to Buy) | Disposition | 2013-12-02 | 800,000 | $0.00 | 800,000 | $1.50 |
| Common Stock | Common Stock Purchase Warrant (Right to Buy) | Disposition | 2013-12-02 | 1,200,000 | $0.00 | 1,200,000 | $1.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2012-09-13 | 2013-11-29 | No | 4 | H | Indirect |
| 0 | 2012-11-01 | 2013-11-29 | No | 4 | H | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 108,156 | Direct |
Footnotes
- The shares are held by Pioneer Pharma (Singapore) Pte. Ltd., which is a wholly owned subsidiary of Pioneer Pharma (Hong Kong) Company Limited, which is a wholly owned subsidiary of the Reporting Person
Billionaire Hedge Funds
