David E. Lazar - 19 Aug 2025 Form 3 Insider Report for NovaBay Pharmaceuticals, Inc. (NBY)

Role
Chief Executive Officer, Director, 10%+ Owner
Signature
/s/ David E. Lazar
Issuer symbol
NBY
Transactions as of
19 Aug 2025
Net transactions value
$0
Form type
3
Filing time
26 Aug 2025, 16:18:44 UTC
Previous filing
04 Aug 2025
Next filing
17 Oct 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
Lazar David E. Chief Executive Officer, Director, 10%+ Owner 44, TOWER 100, THE TOWERS, WINSTON CHURCHILL, PAITILLA, PANAMA CITY, PANAMA /s/ David E. Lazar 26 Aug 2025 0001932843

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding NBY Common Stock 0 19 Aug 2025 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding NBY Series D Convertible Preferred Stock 19 Aug 2025 Common Stock 77,000,000 Direct F2, F3, F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 No shares of Common Stock are beneficially owned.
F2 On August 19, 2025, David E. Lazar (the "Reporting Person") and NovaBay Pharmaceuticals, Inc. (the "Company"), entered into a securies purchase agreement pursuant to which the Reporting Person will acquire (i) an aggregate of 481,250 shares of the Company's Series D Convertible Preferred Stock (the "Series D Preferred Stock") at a price of $20.00 per share and (ii) an aggregate of 268,750 shares of the Company's Series E Convertible Preferred Stock (the "Series E Preferred Stock") at a price of $20.00 per share. Each share of Series D Preferred Stock is convertible into 160 shares of the Company's Common Stock at any time, subject to certain ownership limitations. The initial closing took place on August 19, 2025, whereby the Reporting Person acquired 481,250 shares of Series D Preferred Stock for a total purchase price of $3,850,000.
F3 The Reporting Person will acquire the shares of Series E Preferred Stock at a subsequent closing, subject to satisfaction of certain closing conditions, for a total purchase price of $2,150,000. Each share of Series E Preferred Stock will be convertible into 160 shares of the Company's Common Stock at any time, subject to certain ownership limitations.
F4 The Series D Preferred Stock is perpetual and therefore has no expiration date.
F5 The shares of Series D Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.