0001437749-23-019612.txt : 20230707 0001437749-23-019612.hdr.sgml : 20230707 20230707170028 ACCESSION NUMBER: 0001437749-23-019612 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 13 CONFORMED PERIOD OF REPORT: 20230706 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20230707 DATE AS OF CHANGE: 20230707 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-33678 FILM NUMBER: 231077515 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 8-K 1 nby20230706_8k.htm FORM 8-K nby20230706_8k.htm
false 0001389545 0001389545 2023-07-06 2023-07-06
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
FORM 8-K
 
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
 
Date of earliest event reported: July 6, 2023
 
NovaBay Pharmaceuticals, Inc.
(Exact Name of Registrant as Specified in Charter)
 
Delaware
001-33678
68-0454536
(State or Other Jurisdiction
of Incorporation)
(Commission File Number)
(I.R.S. Employer
Identification No.)
 
2000 Powell Street, Suite 1150, Emeryville, CA 94608
(Address of Principal Executive Offices) (Zip Code)
 
(510) 899-8800
(Registrants telephone number, including area code)
 
Securities registered pursuant to Section 12(b) of the Act:
 
Title of Each Class
 
Trading Symbol(s)
 
Name of Each Exchange On Which Registered
Common Stock, par value $0.01 per share
 
NBY
 
NYSE American
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
 
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
 
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
 
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
 
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter). Emerging growth company 
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
 
 

 
 
Item 5.02
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
 
(b)    On July 6, 2023, Dr. Jeff Kunin advised NovaBay Pharmaceuticals, Inc. (the “Company”) of his decision to retire and resign from his position as the President of DERMAdoctor, LLC, the Company’s wholly owned subsidiary, effective as of November 5, 2023, the natural expiration of his Executive Employment Agreement, dated November 5, 2021.
 
 

 
SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
NovaBay Pharmaceuticals, Inc.
By:
/s/ Justin Hall
Justin Hall
Chief Executive Officer and General Counsel
 
Dated: July 7, 2023
 
 
 
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