Initial Statement of Beneficial Ownership (3)

Date : 03/26/2019 @ 5:40PM
Source : Edgar (US Regulatory)
Stock : NovaBay Pharmaceuticals Inc New (NBY)
Quote : 0.7  0.0 (0.00%) @ 1:29PM

Initial Statement of Beneficial Ownership (3)

FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Raleigh Jason Philip

2. Date of Event Requiring Statement (MM/DD/YYYY)
3/8/2019 

3. Issuer Name and Ticker or Trading Symbol

NovaBay Pharmaceuticals, Inc. [NBY]

(Last)        (First)        (Middle)

2000 POWELL STREET, SUITE 1150

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Interim CFO and Treasurer /

(Street)

EMERYVILLE, CA 94608       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock   0   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy)   (1) 6/6/2016   6/6/2026   Common Stock   12000   $2.7800   D    
Stock Option (right to buy)   (1) 6/2/2017   6/2/2027   Common Stock   23300   $2.3500   D    
Stock Option (right to buy)   (2) 6/2/2017   6/2/2027   Common Stock   1755   $2.3500   D    
Stock Option (right to buy)   (1) 5/31/2018   5/31/2028   Common Stock   40000   $2.2000   D    

Explanation of Responses:
(1)  25% vested or will vest on the first anniversary of the grant date. 6.25% will vest every three months thereafter.
(2)  Granted 11,700 options which vested on January 31, 2018, in direct portion to the percentage achievement of the stated 2017 corporate goals, which the Board determined to be 15% (or 1,755 options).

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Raleigh Jason Philip
2000 POWELL STREET, SUITE 1150
EMERYVILLE, CA 94608


Interim CFO and Treasurer

Signatures
/s/ Jason Raleigh 3/26/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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