NovaBay Pharmaceuticals Inc
For the period ended Mar 31, 2024. Filed May 9, 2024.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 9, 2024
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| ITEM 6. | EXHIBITS |
|---|
The following exhibits are filed with or incorporated by reference into this report.
EXHIBIT INDEX
| Incorporation by Reference · Filed Herewith | ||||||
|---|---|---|---|---|---|---|
| Exhibit Number · Exhibit Description · Form · File Number · Exhibit/ Form 8-K Item Reference · Filing Date | ||||||
| 2.1 | Membership Unit Purchase Agreement dated September 27, 2021, by and among the Company, DERMAdoctor, the Founders and the Sellers (as defined therein) | 8-K | 001-3678 | 2.1 | 9/28/2021 | |
| 3.1 | Amended and Restated Certificate of Incorporation of NovaBay Pharmaceuticals, Inc. | 10-K | 001-33678 | 3.1 | 3/21/2018 | |
| 3.2 | Amendment to the Amended and Restated Certificate of Incorporation | 8-K | 001-33678 | 3.1 | 6/04/2018 | |
| 3.3 | Amendment to the Amended and Restated Certificate of Incorporation, as amended | 8-K | 001-33678 | 3.1 | 5/28/2020 | |
| 3.4 | Amendment to the Amended and Restated Certificate of Incorporation, as amended, dated May 24, 2021 | 8-K | 001-33678 | 3.1 | 5/24/2021 | |
| 3.5 | Amendment to the Amended and Restated Certificate of Incorporation, as amended, dated January 31, 2022 | 8-K | 001-33678 | 3.1 | 2/1/2022 | |
| 3.6 | Certificate of Designation for the Series B Preferred Stock | 8-K | 001-33678 | 3.1 | 11/1/2021 | |
| 3.7 | Amendment to Amended and Restated Certificate of Incorporation, as amended, dated November 14, 2022 | 8-K | 001-33678 | 3.1 | 11/18/2022 | |
| 3.8 | Certificate of Designation for the Series C Preferred Stock | 8-K | 001-33678 | 3.2 | 11/18/2022 | |
| 3.9 | Bylaws, as amended and restated effective June 13, 2023 | 8-K | 001-33678 | 3.1 | 6/14/2023 | |
| 4.1 | Form of Warrant pursuant to the Services Agreement with TLF Bio Innovation Lab, LLC, dated May 13, 2020 | 8-K | 001-33678 | 4.1 | 5/18/2020 | |
| 4.2 | Form of July 2020 Warrant | 8-K | 001-33678 | 4.1 | 7/21/2020 | |
| 4.3 | Form of Amended July 2020 Warrant | 8-K | 001-33678 | 4.1 | 9/13/2022 | |
| 4.4 | Form of Amended November 2021 Warrant | 8-K | 001-33678 | 4.2 | 9/13/2022 | |
| 4.5 | Form of September 2022 Warrant (2020 participants) | 8-K | 001-33678 | 4.3 | 9/13/2022 | |
| 4.6 | Form of September 2022 Warrant (2021 participants) | 8-K | 001-33678 | 4.4 | 9/13/2022 | |
| 4.7 | Form of Series A-1 Long-Term Warrant | 8-K | 001-33678 | 4.5 | 9/13/2022 | |
| 4.8 | Form of Series A-2 Short-Term Warrant | 8-K | 001-33678 | 4.6 | 9/13/2022 | |
| 4.9 | Form of Original Issue Discount Secured Senior Convertible Debentures | 8-K | 001-33678 | 4.1 | 4/27/2023 | |
| 4.10 | Form of Series B-1 Long-Term Warrant | 8-K | 001-33678 | 4.2 | 4/27/2023 | |
| 4.11 | Form of Series B-2 Short-Term Warrant | 8-K | 001-33678 | 4.3 | 4/27/2023 | |
| 4.12 | Form of Warrant Amendment Agreement | 8-K | 001-33678 | 4.4 | 4/27/2023 | |
| 4.13 | Form of Series C Common Stock Warrant | 8-K | 001-33678 | 4.1 | 12/21/2023 | |
| 4.14 | Form of Series D Common Stock Warrant | 8-K | 001-33678 | 4.2 | 3/25/2024 | |
| 4.15 | Form of Unsecured Convertible Notes | 8-K | 001-33678 | 4.3 | 3/25/2024 | |
| 4.16 | License and Distribution Agreement by and between NovaBay and Sonoma, dated, January 5, 2024 | 8-K | 001-33678 | 10.1 | 1/10/2024 | |
| 10.1 | Form of First Amendment to the Security Agreement, dated March 24, 2024* | 8-K | 001-33678 | 10.3 | 3/25/2024 | |
| 10.2 | Form of Consent and Release, dated March 24, 2024* | 8-K | 001-33678 | 10.4 | 3/25/2024 | |
| 31.1 | Certification of the Principal Executive Officer of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a) | X | ||||
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| 31.2 | Certification of the Principal Financial Officer of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a) | X |
| 32.1 | Certification by the Chief Executive Officer of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(b) or 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350) | X |
| 32.2 | Certification by the Chief Financial Officer of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(b) or 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. 1350) | X |
| 101.INS | Inline XBRL Instance Document | X |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase | X |
| 101.LAB | Inline XBRL Taxonomy Extension Labels Linkbase Document | X |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X |
| 104 | The Cover Page Interactive Data File, formatted in Inline XBRL (included within the Exhibit 101 attachments) | X |
*Certain schedules and exhibits were omitted as well as certain confidential portions of the agreements by means of marking such portions with brackets (due to such confidential portions not being material and would be competitively harmful if publicly disclosed) pursuant to Item 601 of Regulation S-K promulgated by the Commission. The Company agrees to supplementally furnish a copy of any omitted schedule, exhibit or confidential portions to the Commission upon request.
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