0001437749-20-010592.txt : 20200513
0001437749-20-010592.hdr.sgml : 20200513
20200513163050
ACCESSION NUMBER: 0001437749-20-010592
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200504
FILED AS OF DATE: 20200513
DATE AS OF CHANGE: 20200513
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Jones Andrew D.
CENTRAL INDEX KEY: 0001811872
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33678
FILM NUMBER: 20873597
MAIL ADDRESS:
STREET 1: 2000 POWELL STREET
STREET 2: SUITE 1150
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: NovaBay Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0001389545
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 680454536
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2000 POWELL STREET, SUITE 1150
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
BUSINESS PHONE: (510) 899-8800
MAIL ADDRESS:
STREET 1: 2000 POWELL STREET, SUITE 1150
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
3
1
rdgdoc.xml
FORM 3
X0206
3
2020-05-04
0
0001389545
NovaBay Pharmaceuticals, Inc.
NBY
0001811872
Jones Andrew D.
2000 POWELL STREET, SUITE 1150
EMERYVILLE
CA
94608
1
CFO and Treasurer
Common Stock
160000
D
Stock option (right to buy)
1.0300
2021-05-04
2030-05-04
Common stock
300000
D
On May 4, 2020, Mr. Jones was issued 160,000 restricted stock units (the "RSUs") with a fair market value equal to $164,800 from the Company's 2017 Omnibus Incentive Plan, which will fully vest on the one year anniversary of Mr. Jones' first day of employment, May 4, 2021. Such RSUs were granted to Mr. Jones in relation to his Executive Employment Agreement, as disclosed in the Company's Current Report on Form 8-K filed with the SEC on May 5, 2020.
The options will vest over four (4) years with 25% of the options vesting on the one year anniversary of Mr. Jones' first day of employment, May 4, 2021, and 6.25% vesting every three months thereafter.
/s/ Andrew D. Jones
2020-05-13