Filing Details
- Accession Number:
- 0001437749-15-004220
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-05 17:44:10
- Reporting Period:
- 2015-03-03
- Filing Date:
- 2015-03-05
- Accepted Time:
- 2015-03-05 17:44:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1410081 | Ramin Najafi | C/O Novabay Pharmaceuticals, Inc. 5980 Horton Street, Suite 550 Emeryville CA 94608 | Chief Executive Officer | Yes | Yes | Yes | Yes |
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 | 2015-03-03 | 166,666 | $0.60 | 3,391,666 | No | 4 | P | Indirect | Ownership through the Najafi Family Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Ownership through the Najafi Family Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Warrant | Acquisiton | 2015-03-03 | 166,666 | $0.60 | 166,666 | $0.60 |
| Common Stock | Warrant | Acquisiton | 2015-03-03 | 124,999 | $0.65 | 124,999 | $0.65 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 291,665 | 2015-09-06 | 2016-06-06 | No | 4 | P | Indirect |
| 291,665 | 2015-06-06 | 2020-06-06 | No | 4 | P | Indirect |
Footnotes
- Warrant to purchase common stock
Billionaire Hedge Funds
