Small Company Offering and Sale of Securities Without Registration (d)
01/05/2020 1:23pm
Edgar (US Regulatory)
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 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 |
| Last Name | First Name | Middle Name |
| HALL | JUSTIN | |
| Street Address 1 | Street Address 2 |
| 2000 POWELL STREET | SUITE 1150 |
| City | State/Province/Country | ZIP/Postal Code |
| EMERYVILLE | OHIO | 94608 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | PRESIDENT, CHIEF EXECUTIVE OFFICER AND GENERAL COUNSEL |
| Last Name | First Name | Middle Name |
| CHRISTOPHER | LYNN | |
| 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) |
| | INTERIM CHIEF FINANCIAL OFFICER |
| Last Name | First Name | Middle Name |
| FREIMAN | 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 |
| 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) |
| | |
| Last Name | First Name | Middle Name |
| WANG | XIAOPEI (RAY) | |
| 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 |
| 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) |
| | |
|
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 | |
| 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) |
|
x
| New Notice | Date of First Sale | |
x
| First Sale Yet to Occur |
| 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 |
o
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
x
| 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) | |
| |
| Minimum investment accepted from any outside investor | $ 0 USD |
| Recipient | Recipient CRD Number |
o
| None |
| | |
| (Associated) Broker or Dealer |
o
| None | (Associated) Broker or Dealer CRD Number |
o
| None |
| | |
| Street Address 1 | Street Address 2 |
| | |
| City | State/Province/Country | ZIP/Postal Code |
| | | |
| State(s) of Solicitation |
o
| All States |
| |
| |
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ USD |
x
Indefinite |
| Total Amount Sold | $ 0 USD | |
| Total Remaining to be Sold | $ USD |
x
Indefinite |
| |
| Clarification of Response (if Necessary) |
| SEE THE DESCRIPTION OF THE INTERNATIONAL DISTRIBUTION AGREEMENT, DATED APRIL 16, 2020, REGARDING THE WARRANTS TO BE ISSUED THEREUNDER IN THE FORM 8-K FILED WITH THE SEC ON APRIL 20, 2020. |
|
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: | 0 |
| 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 | $ 0 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| |
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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