Filing Details
- Accession Number:
- 0001437749-19-020745
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2019-10-28 16:30:15
- Reporting Period:
- 2019-06-10
- Accepted Time:
- 2019-10-28 16:30:15
- Original Submission Date:
- 2019-06-12
- 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 |
|---|---|---|---|---|---|---|---|
| 1771217 | Philip Jason Raleigh | C/O Novabay Pharmaceuticals, Inc. 2000 Powell Street, Suite 1150 Emeryville CA 94608 | Interim Cfo And Treasurer | No | Yes | No | 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 | 2019-06-10 | 23,405 | $2.20 | 23,405 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2019-06-10 | 23,405 | $3.00 | 0 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2019-06-11 | 9,750 | $2.35 | 9,750 | No | 4 | A | Direct | |
| Common Stock | Disposition | 2019-06-11 | 9,750 | $3.75 | 0 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | A | Direct | |
| No | 4 | S | Direct | |
| No | 4 | A | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2019-06-10 | 23,405 | $0.00 | 23,405 | $2.20 |
| Common Stock | Stock Option (right to buy) | Disposition | 2019-06-11 | 9,750 | $0.00 | 9,750 | $2.35 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2019-05-31 | 2028-05-31 | No | 4 | X | Direct |
| 0 | 2018-06-02 | 2027-06-02 | No | 4 | X | Direct |
Footnotes
- The amended Form 4 is being filed to show (1) the corresponding acquisition of common stock after the exercise of options in Table I and (2) the immediate sale of common stock after such exercise of options in Table I.
Billionaire Hedge Funds
