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