Framework Ventures IV L.P. - 16 Oct 2025 Form 4/A - Amendment 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/A - Amendment
Accepted by SEC: 22 Oct 2025, 21:27:05 UTC
Original report date: 20 Oct 2025
Prior SEC filing: 22 Oct 2025
Next SEC filing: 19 May 2026
Source filing: View source filing
Reporting owner signature: /s/ Michael Ernest Anderson

Key filing fact

Framework Ventures IV L.P. filed Form 4/A - Amendment for NovaBay Pharmaceuticals, Inc. (NBY) on 22 Oct 2025.

Key facts

This page summarizes Framework Ventures IV L.P.'s Form 4/A - Amendment filing for NovaBay Pharmaceuticals, Inc. (NBY).
2 reported transactions and 2 derivative rows are listed below.
Accepted by SEC: 22 Oct 2025, 21:27.

Change

Previous filing in this sequence was filed on 22 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/A - Amendment disclosures.

View source filing

Reporting Owners (5)

CIK 0002028474 Primary reporting owner

Framework Ventures IV L.P.

Relationship: 10%+ Owner
Address: 600 MONTGOMERY STREET, FLOOR 42, SAN FRANCISCO
Signature: /s/ Michael Ernest Anderson
Signature date: 22 Oct 2025

CIK 0002091751

Framework Ventures Management LLC

Relationship: 10%+ Owner
Address: 600 MONTGOMERY STREET. FLOOR 42, SAN FRANCISCO
Signature: /s/ Michael Ernest Anderson
Signature date: 22 Oct 2025

CIK 0002092591

Framework Ventures IV GP LLC

Relationship: 10%+ Owner
Address: 600 MONTGOMERY STREET, FLOOR 42, SAN FRANCISCO
Signature: /s/ Michael Ernest Anderson
Signature date: 22 Oct 2025

CIK 0002093174

Anderson Michael Ernest

Relationship: 10%+ Owner
Address: 600 MONTGOMERY STREET, FLOOR 42, SAN FRANCISCO
Signature: /s/ Michael Ernest Anderson
Signature date: 22 Oct 2025

CIK 0002092030

Spencer Vance

Relationship: 10%+ Owner
Address: 600 MONTGOMERY STREET, FLOOR 42, SAN FRANCISCO
Signature: /s/ Vance Spencer
Signature date: 22 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

Other

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

Other

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, Framework Ventures IV L.P. ("Framework LP"), David Lazar (the "Seller") and certain other investors entered into a securities purchase agreement pursuant to which Framework 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 Framework Ventures GP IV LLC ("Framework GP"), Framework Ventures Management LLC ("Framework Management"), Vance Spencer ("Mr. Spencer") and Michael Ernest Anderson ("Mr. Anderson" and together with Framework GP, Framework Management, Mr. Spencer and Framework LP, the "Framework 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. Framework GP is the general partner of Framework LP. Framework Management is the investment manager for Framework GP. Mr. Spencer and Mr. Anderson are members and the managers of Framework GP and the managing members of Framework Management.

SEC remarks

This filing amends the Form 4 filed on October 20, 2025 solely to reflect the addition of Michael Ernest Anderson as a reporting person. Mr. Anderson had not yet obtained EDGAR codes at the time of filing the prior Form 4 and has since obtained EDGAR codes. Framework LP, Framework GP, Framework Management, Mr. Spencer and Mr. Anderson are jointly filing this Form 4 pursuant to the Joint Filing Agreement, dated October 20, 2025, filed with the Securities and Exchange Commission herewith (the "Joint Filing Agreement"). Exhibit List: Exhibit 99.1 - Joint Filing Agreement.