Quick Takeaways
- This page summarizes Michael John Kazley's Form 3 filing for NovaBay Pharmaceuticals, Inc. (NBY).
- 0 reported transactions and 1 derivative row are listed below.
- Filing timestamp: 20 Oct 2025, 21:38.
Michael John Kazley - 16 Oct 2025 Form 3 Insider Report for NovaBay Pharmaceuticals, Inc. (NBY)
- Signature
- /s/ Michael Kazley
- Issuer symbol
- NBY
- Transactions as of
- 16 Oct 2025
- Net transactions value
- $0
- Form type
- 3
- Filing time
- 20 Oct 2025, 21:38:13 UTC
- Next filing
- 02 Apr 2026
- SEC
- View on sec.gov
Quoteable Key Fact
"Michael John Kazley filed Form 3 for NovaBay Pharmaceuticals, Inc. (NBY) on 20 Oct 2025."
What Changed
- No earlier filing in this sequence is available for direct comparison.
- 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
Reporting Owners (1)
| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Kazley Michael John | Chief Executive Officer, Director, 10%+ Owner | 1111 LINCOLN ROAD, SUITE 500, MIAMI BEACH | /s/ Michael Kazley | 20 Oct 2025 | 0002091727 |
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 Non-Voting Convertible Preferred Stock | 16 Oct 2025 | Common Stock | 1,164,117 | $0.000000 | By R01 Entities | F1, F2, F3 |
* An asterisk sign (*) next to the price indicates that the price is likely invalid.
Explanation of Responses:
| Id | Content |
|---|---|
| F1 | On October 9, 2025, R01 Fund LP ("R01 LP"), David Lazar (the "Seller") and certain other investors entered into a securities purchase agreement pursuant to which R01 LP purchased all of Seller's rights, title and interest in (i) 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"), which is convertible into a maximum of 1,164,117 shares of the Issuer's Common Stock and (ii) the rights and obligation to purchase 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"). |
| F2 | Following stockholder approval 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, at the Issuer's annual meeting on October 16, 2025 (the "Meeting"), (i) each share of Series D Preferred Stock will automatically convert into 160 shares of common stock at the option of the holder or within three business days of the Meeting, and (ii) the Issuer will issue the Series E Preferred Stock, each share of which will automatically convert into 160 shares of common stock at the option of the holder or within thirty business days of the Meeting. |
| F3 | 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 R01 LP, 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 R01 LP. R01 Capital Manager is the investment manager for R01 Capital. Michael Kazley is the managing member of R01 Capital Manager. |