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

Reporting relationship: 10%+ Owner
Issuer ticker: NBY
Reported as of: 16 Oct 2025
Net transaction value: $0
SEC form: 4
Accepted by SEC: 20 Oct 2025, 21:39:35 UTC
Prior SEC filing: 20 Oct 2025
Next SEC filing: 19 May 2026
Source filing: View source filing
Reporting owner signature: /s/ Michael Kazley

Key filing fact

R01 Fund LP filed Form 4 for NovaBay Pharmaceuticals, Inc. (NBY) on 20 Oct 2025.

Key facts

This page summarizes R01 Fund LP's Form 4 filing for NovaBay Pharmaceuticals, Inc. (NBY).
2 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 20 Oct 2025, 21:39.

Change

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

Research use

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.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (4)

CIK 0001990517 Primary reporting owner

R01 Fund LP

Relationship: 10%+ Owner
Address: 1111 LINCOLN ROAD, SUITE 500, MIAMI BEACH
Signature: /s/ Michael Kazley
Signature date: 20 Oct 2025

CIK 0002091715

R01 Capital LLC

Relationship: 10%+ Owner
Address: C/O R01 CAPITAL LLC, 1111 LINCOLN AVENUE, SUITE 500, MIAMI BEACH
Signature: /s/ Michael Kazley
Signature date: 20 Oct 2025

CIK 0002091724

R01 Capital Manager LLC

Relationship: 10%+ Owner
Address: C/O R01 CAPITAL LLC, 1111 LINCOLN AVENUE, SUITE 500, MIAMI BEACH
Signature: /s/ Michael Kazley
Signature date: 20 Oct 2025

CIK 0002091727

Kazley Michael John

Relationship: Chief Executive Officer, Director, 10%+ Owner
Address: 1111 LINCOLN ROAD, SUITE 500, MIAMI BEACH
Signature: /s/ Michael Kazley
Signature date: 20 Oct 2025

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

NBY transaction Derivative

Series D Non-Voting Convertible Preferred Stock

Award

Transaction value: $0
Shares: +220,663
Change %
Price: $0.000000
Shares after: 220,663
Date: 16 Oct 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 35,306,080
Exercise price: $0.000000
Footnotes: F1, F2, F3

NBY transaction Derivative

Series E Non-Voting Convertible Preferred Stock

Award

Transaction value: $0
Shares: +134,375
Change %
Price: $0.000000
Shares after: 134,375
Date: 16 Oct 2025
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 21,500,000
Exercise price: $0.000000
Footnotes: F1, F2, F3

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 3 footnotes

Footnote 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") 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").

Footnote F2

Following stockholder approvals 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 Convertible 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 issued 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.

Footnote 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. Mr. Kazley is the managing member of R01 Capital Manager.

SEC remarks

Exhibit 99.1 - Joint Filing Agreement