NovaBay Pharmaceuticals, Inc. Files 10-K/A Amendment No. 1 for Fiscal Year Ended Dec 31, 2023

TL;DR

<b>NovaBay Pharmaceuticals, Inc. filed an amendment to its 2023 annual report, providing updated financial and operational information.</b>

AI Summary

NovaBay Pharmaceuticals, Inc. (NBY) filed a Amended Annual Report (10-K/A) with the SEC on March 29, 2024. NovaBay Pharmaceuticals, Inc. filed an amendment (10-K/A) to its annual report for the fiscal year ended December 31, 2023. The filing was submitted on March 29, 2024. The company's common stock is traded on the NYSE American under the ticker symbol NBY. NovaBay Pharmaceuticals, Inc. is incorporated in Delaware and has its principal executive offices in Emeryville, California. The company is classified under the Pharmaceutical Preparations industry (SIC code 2834).

Why It Matters

For investors and stakeholders tracking NovaBay Pharmaceuticals, Inc., this filing contains several important signals. This amendment indicates that the company is providing updated or corrected information for its 2023 fiscal year, which could impact investor understanding of its financial health and strategic direction. As a publicly traded company on NYSE American (NBY), timely and accurate filings are crucial for maintaining investor confidence and regulatory compliance.

Risk Assessment

Risk Level: low — NovaBay Pharmaceuticals, Inc. shows low risk based on this filing. The filing is an amendment to a 10-K, suggesting a correction or update rather than a new material event, thus posing a low immediate risk.

Analyst Insight

Investors should review the specific changes made in Amendment No. 1 to the 10-K filing to understand any revised financial data or disclosures from NovaBay Pharmaceuticals, Inc.

Key Numbers

• 2023-12-31 — Fiscal Year End (Conformed period of report)
• 2024-03-29 — Filing Date (Conformed submission type date)
• 001-33678 — SEC File Number (Commission file number)
• 68-0454536 — IRS Number (IRS Employer Identification No.)

Key Players & Entities

• NovaBay Pharmaceuticals, Inc. (company) — Filer name
• NBY (company) — Trading symbol
• NYSE American (company) — Exchange where NBY is registered
• 2000 Powell Street, Suite 1150 (location) — Principal executive offices street address
• Emeryville, California (location) — Principal executive offices city and state
• Delaware (location) — State of incorporation

FAQ

Industry Context

NovaBay Pharmaceuticals operates in the pharmaceutical preparations industry, focusing on developing and commercializing anti-infective products.

Regulatory Implications

The filing is a standard annual report amendment (10-K/A) required by the SEC for publicly traded companies to disclose financial and operational information.

What Investors Should Do

1. Review the specific amendments made to the 2023 10-K filing.
2. Monitor future SEC filings from NovaBay Pharmaceuticals for ongoing developments.
3. Analyze the company's financial performance and strategic initiatives based on the disclosed information.

Key Dates

• 2023-12-31: Fiscal Year End — The period covered by the annual report.
• 2024-03-29: Filing Date — Date the 10-K/A amendment was filed with the SEC.

Year-Over-Year Comparison

This is an amendment (10-K/A) to the previously filed annual report for the fiscal year ended December 31, 2023.

Key Financial Figures

• $0.01 — h Registered Common Stock , par value $0.01 per share NBY NYSE American Securit

Filing Documents

• nby20231231_10ka.htm (10-K/A) — 170KB
• ex_647372.htm (EX-31.1) — 4KB
• ex_647369.htm (EX-31.2) — 4KB
• ex_647370.htm (EX-32.1) — 4KB
• ex_647371.htm (EX-32.2) — 4KB
• 0001437749-24-009990.txt (&nbsp;) — 401KB
• nby-20231231.xsd (EX-101.SCH) — 3KB
• nby-20231231_def.xml (EX-101.DEF) — 17KB
• nby-20231231_lab.xml (EX-101.LAB) — 23KB
• nby-20231231_pre.xml (EX-101.PRE) — 18KB
• nby20231231_10ka_htm.xml (XML) — 7KB

Description of Securities

Description of Securities 10-K 001-33678 4.1 3/31/2023 4.2 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 4.3 Form of July 2020 Warrant 8-K 001-33678 4.1 7/21/2020 4.4 Form of Amended July 2020 Warrant 8-K 001-33678 4.1 9/13/2022 4.5 Form of Amended November 2021 Warrant 8-K 001-33678 4.2 9/13/2022 4.6 Form of September 2022 Warrant (2020 participants) 8-K 001-33678 4.3 9/13/2022 4.7 Form of September 2022 Warrant (2021 participants) 8-K 001-33678 4.4 9/13/2022 4.8 Form of Series A-1 Long-Term Warrant 8-K 001-33678 4.5 9/13/2022 4.9 Form of Series A-2 Short-Term Warrant 8-K 001-33678 4.6 9/13/2022 4.10 Form of Original Issue Discount Secured Senior Convertible Debentures 8-K 001-33678 4.1 4/27/2023 4.11 Form of Series B-1 Long-Term Warrant 8-K 001-33678 4.2 4/27/2023 4.12 Form of Series B-2 Short-Term Warrant 8-K 001-33678 4.3 4/27/2023 4.13 Form of Warrant Amendment Agreement 8-K 001-33678 4.4 4/27/2023 4.14 Form of Series C Common Stock Warrant 8-K 001-33678 4.1 12/21/2023 4.15 Form of Series D Common Stock Warrant 8-K 001-33678 4.2 3/25/2024 4.16 Form of Unsecured Convertible Notes 8-K 001-33678 4.3 3/25/2024 10.1 Director and Officer Indemnity Agreement 10-K 001-33678 10.1 3/29/2022 10.2+ NovaBay Pharmaceuticals, Inc. 2007 Omnibus Incentive Plan (as amended and restated) S-8 333-215680 99.1 1/24/2017 10.3+ NovaBay Pharmaceuticals, Inc. 2017 Omnibus Incentive Plan S-8 333-218469 99.1 6/02/2017 10.4+ NovaBay Pharmaceuticals, Inc. 2017 Omnibus Incentive Plan (Form Agreements to the 2017 Omnibus Incentive Plan) S-8 333-218469 99.2 6/02/2017 10.5+ Executive Employment Agreement (Employment Agreement of Justin M. Hall) 8-K 001-33678 10.1 2/6/2020 10.6+ First Amendment to the Executive Employment Agreement with Justin M. Hall, dated January

SIGNATURES

SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this Form 10-K/A to be signed on its behalf by the undersigned, thereunto duly authorized. Date: March 29, 2024 By: /s/ Justin Hall Justin Hall Chief Executive Officer, General Counsel and Director (principal executive officer)

View Full Filing

View this 10-K/A filing on SEC EDGAR