R01 Fund LP - 16 Oct 2025 Form 4 Insider Report for NovaBay Pharmaceuticals, Inc. (NBY)

Role: 10%+ Owner
Signature: /s/ Michael Kazley - R01 Fund LP - Principal
Issuer symbol: NBY
Transactions as of: 16 Oct 2025
Net transactions value: $0
Form type: 4
Filing time: 03 Nov 2025, 21:38:56 UTC
Previous filing: 20 Oct 2025
SEC: View on sec.gov

Quoteable Key Fact

"R01 Fund LP filed Form 4 for NovaBay Pharmaceuticals, Inc. (NBY) on 03 Nov 2025."

Quick Takeaways

This page summarizes R01 Fund LP's Form 4 filing for NovaBay Pharmaceuticals, Inc. (NBY).
2 reported transactions and 1 derivative row are listed below.
Filing timestamp: 03 Nov 2025, 21:38.

What Changed

Previous filing in this sequence was filed on 20 Oct 2025.
Current net transaction value: $0.

Why This Matters

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Official SEC Source

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

See Original Filing

Reporting Owners (4)

Name	Relationship	Address	Signature	Signature date	CIK
R01 Fund LP	10%+ Owner	1111 LINCOLN ROAD, SUITE 500, MIAMI BEACH	/s/ Michael Kazley - R01 Fund LP - Principal	03 Nov 2025	0001990517
Kazley Michael John	Chief Executive Officer, Director, 10%+ Owner	1111 LINCOLN ROAD, SUITE 500, MIAMI BEACH	/s/ Michael Kazley	03 Nov 2025	0002091727
R01 Capital LLC	10%+ Owner	1111 LINCOLN ROAD, SUITE 500, MIAMI BEACH	/s/ Michael Kazley - R01 Capital LLC - Managing Member	03 Nov 2025	0002091715
R01 Capital Manager LLC	10%+ Owner	1111 LINCOLN ROAD, SUITE 500, MIAMI BEACH	/s/ Michael Kazley - R01 Capital Manager LLC - Managing Member	03 Nov 2025	0002091724

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	NBY	Common Stock	Conversion of derivative security	$0	+56,806,080		$0.000000	56,806,080	21 Oct 2025	Direct	F1, F2

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
transaction	NBY	Pre-Funded Warrants (Right to Buy)	Purchase	$0	+2,702,703		$0.000000	2,702,703	16 Oct 2025	Common Stock	2,702,703	$0.0100	Direct	F2, F3

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	This represents (i) the conversion of 220,663 shares of the Issuer's Series D Non-Voting Convertible Preferred Stock, par value $0.01 per share (the "Series D Preferred Stock") into 35,306,080 shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock") and (ii) the conversion of 134,375 shares of the Issuer's Series E Non-Voting Convertible Preferred Stock, par value $0.01 per share (the "Series E Preferred Stock") into 21,500,000 shares of the Issuer's Common Stock, both of which occurred on October 21, 2025 following stockholder approval at the Issuer's annual meeting on October 16, 2025 of proposals 5 and 9 set forth in the Issuer's Definitive Proxy Statement on Schedule 14A, filed by the Issuer with the Securities and Exchange Commission on September 23, 2025.
F2	The reported securities may also be deemed to be beneficially owned by R01 Capital LLC ("R01 Capital"), R01 Capital Manager LLC ("R01 Capital Manager") and Michael Kazley ("Mr. Kazley" and together with R01 Capital, R01 Capital Manager and the Reporting Person, the "R01 Entities"), each of which or whom disclaim beneficial ownership of these shares, except to the extent of its or his pecuniary interest in such shares, if any. R01 Capital is the general partner of the Reporting Person. R01 Capital Manager is the investment manager for R01 Capital. Mr. Kazley is the managing member of R01 Capital Manager.
F3	On October 16, 2025, the Issuer issued and sold to the Reporting Person pre-funded warrants (the "Pre-Funded Warrants") to purchase an aggregate 2,702,703 shares of the Issuer's Common Stock. The purchase price was $1.10 per warrant, representing 110% of the closing price of the Common Stock on the day before the issuance, less the $0.01 exercise price for each warrant. The Pre-Funded Warrants have no expiration date and are exercisable for shares of Common Stock at any time after January 1, 2026, subject to receipt of stockholder approval.

Remarks:

Exhibit 99.1 - Joint Filing Agreement (incorporated by reference to Exhibit 99.1 for Form 4 filed with the Securities and Exchange Commission on October 20, 2025).