Small Company Offering and Sale of Securities Without Registration (d)

Date : 08/26/2019 @ 6:06PM
Source : Edgar (US Regulatory)
Stock : NovaBay Pharmaceuticals Inc New (NBY)
Quote : 0.54  0.0119 (2.25%) @ 3:43PM

Small Company Offering and Sale of Securities Without Registration (d)

o NoneEntity Type
0001389545
NOVACAL PHARMACEUTICALS, INC.
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 NovaBay Pharmaceuticals, Inc.
Jurisdiction of Incorporation/Organization
DELAWARE
 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed 



2. Principal Place of Business and Contact Information
Name of Issuer 
 NovaBay Pharmaceuticals, Inc. 
Street Address 1Street Address 2
 2000 POWELL STREET, SUITE 1150 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 EMERYVILLE CALIFORNIA 94608 (510) 899-8800 



3. Related Persons
Last NameFirst NameMiddle Name
HALLJUSTIN
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 CHIEF EXECUTIVE OFFICER

Last NameFirst NameMiddle Name
RALEIGHJASON
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 CHIEF FINANCIAL OFFICER

Last NameFirst NameMiddle Name
FREIMANPAUL
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
WUMIJIA (BOB)
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

 
Last NameFirst NameMiddle Name
LIXINZHOU (PAUL)
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
MADERISGAIL
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
WANGXIAOPEI (RAY)
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

Last NameFirst NameMiddle Name
ZAVODNICKTODD
Street Address 1Street Address 2
2000 POWELL STREETSUITE 1150
CityState/Province/CountryZIP/Postal Code
EMERYVILLECALIFORNIA94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  

 


4. Industry Group
o Agriculture Health Care o Retailing
 Banking & Financial Services   o Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance Technology
  o Insurance  o Hospitals & Physicians  o Computers
  o Investing  x Pharmaceuticals  o Telecommunications
  o Investment Banking  o Other Health Care  o Other Technology
  o Pooled Investment Fund

    Travel
  o Other Banking & Financial Services o Manufacturing  o Airlines & Airports
 Real Estate  o Lodging & Conventions
  o Commercial  o Tourism & Travel Services
  o Construction  o Other Travel
  o REITS & Finance o Other
  o Residential 
  o Other Real Estate 
o Business Services 
 Energy 
  o Coal Mining 
  o Electric Utilities 
  o Energy Conservation 
  o Environmental Services 
  o Oil & Gas 
  o Other Energy 


5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale 2019-08-13 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests x Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities o Option, Warrant or Other Right to Acquire Another Security
o Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security o Other (describe)
  


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 0 USD

12. Sales Compensation
RecipientRecipient CRD Number x None
 CHINA KINGTON ASSET MANAGEMENT CO. LTD  
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 SUITE 1907-09, GANG TAI PLAZA, NO. 700 YAN AN EAST ROAD
City State/Province/CountryZIP/Postal Code
 SHANGHAI CHINA NONE
State(s) of Solicitation o All States x Foreign/Non-US
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 2700000 USD o Indefinite
Total Amount Sold $ 2700000 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
  


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 3


15. Sales Commissions & Finders' Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$ 162000 USD o Estimate
Finders' Fees$ 0 USD o Estimate
 
Clarification of Response (if Necessary)
  


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 0 USD o

NovaBay Pharmaceuticals (AMEX:NBY)
Historical Stock Chart

1 Year : From Nov 2018 to Nov 2019

Click Here for more NovaBay Pharmaceuticals Charts.

NovaBay Pharmaceuticals (AMEX:NBY)
Intraday Stock Chart

Today : Thursday 14 November 2019

Click Here for more NovaBay Pharmaceuticals Charts.

Latest NBY Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts


Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.


NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.