o None
Entity 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 1 Street Address 2
 2000 POWELL STREET, SUITE 1150  
City State/Province/Country ZIP/Postal Code Phone No. of Issuer
 EMERYVILLE  CALIFORNIA  94608  (510) 899-8800 



3. Related Persons
Last Name First Name Middle Name
HALL JUSTIN M.
Street Address 1 Street Address 2
2000 POWELL STREET SUITE 1150
City State/Province/Country ZIP/Postal Code
EMERYVILLE CALIFORNIA 94608
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
  CHIEF EXECUTIVE OFFICER AND GENERAL COUNSEL

Last Name First Name Middle Name
JONES ANDREW
Street Address 1 Street Address 2
2000 POWELL STREET SUITE 1150
City State/Province/Country ZIP/Postal Code
EMERYVILLE CALIFORNIA 94608
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  CHIEF FINANCIAL OFFICER

Last Name First Name Middle Name
KUNIN AUDREY
Street Address 1 Street Address 2
4346 NW BELGIUM BLVD.
City State/Province/Country ZIP/Postal Code
KANSAS CITY MISSOURI 64150
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  CHIEF PRODUCT OFFICER, DERMADOCTOR, LLC

Last Name First Name Middle Name
KUNIN JEFFREY
Street Address 1 Street Address 2
4346 NW BELGIUM BLVD.
City State/Province/Country ZIP/Postal Code
KANSAS CITY MISSOURI 64150
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
  PRESIDENT, DERMADOCTOR, LLC

 
Last Name First Name Middle Name
FREIMAN PAUL E.
Street Address 1 Street Address 2
2000 POWELL STREET SUITE 1150
City State/Province/Country ZIP/Postal Code
EMERYVILLE CALIFORNIA 94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
   

Last Name First Name Middle Name
LI XINZHOU (PAUL)
Street Address 1 Street Address 2
2000 POWELL STREET SUITE 1150
City State/Province/Country ZIP/Postal Code
EMERYVILLE CALIFORNIA 94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
   

Last Name First Name Middle Name
SIT SWAN
Street Address 1 Street Address 2
2000 POWELL STREET SUITE 1150
City State/Province/Country ZIP/Postal Code
EMERYVILLE CALIFORNIA 94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
   

Last Name First Name Middle Name
WU MIJIA (BOB)
Street Address 1 Street Address 2
2000 POWELL STREET SUITE 1150
City State/Province/Country ZIP/Postal Code
EMERYVILLE CALIFORNIA 94608
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
   

 
Last Name First Name Middle Name
ZHENG YENYOU (JEFF)
Street Address 1 Street Address 2
2000 POWELL STREET SUITE 1150
City State/Province/Country ZIP/Postal Code
EMERYVILLE CALIFORNIA 94608
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 Range Aggregate 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  2021-11-02 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 x Option, Warrant or Other Right to Acquire Another Security
x 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)  
 A PORTION OF THE PROCEEDS RAISED THROUGH THIS OFFERING WERE USED TO FUND THE PURCHASE PRICE FOR AN ALL CASH ACQUISITION BY THE COMPANY OF DERMADOCTOR, LLC.

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

12. Sales Compensation
Recipient Recipient CRD Number o None
 Ladenburg Thalmann & Co. Inc.  505
(Associated) Broker or Dealer x None (Associated) Broker or Dealer CRD Number x None
     
Street Address 1 Street Address 2
 277 Park Ave.  26th Floor
City State/Province/Country ZIP/Postal Code
 New York  NEW YORK  10172
State(s) of Solicitation o All States o Foreign/Non-US
 NEW YORK
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 15000000 USD o Indefinite
Total Amount Sold $ 15000000 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: 7


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 $ 1200000 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
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