UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of earliest event reported: May 5, 2020

 

NovaBay Pharmaceuticals, Inc.

(Exact Name of Registrant as Specified in Charter)

 

Delaware

001-33678

68-0454536

(State or Other Jurisdiction

of Incorporation)

(Commission File Number)

(I.R.S. Employer

Identification No.)

 

2000 Powell Street, Suite 1150, Emeryville, CA 94608

(Address of Principal Executive Offices) (Zip Code)

 

(510) 899-8800

(Registrant’s telephone number, including area code)

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

 

Trading Symbol(s)

 

Name of Each Exchange On Which Registered

Common Stock, par value $0.01 per share

 

NBY

 

NYSE American

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

   

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

   

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

   

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter). Emerging growth company ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

Item 8.01     Other Events

 

On May 5, 2020, the Company issued an updated press release announcing that the Company appointed Andrew Jones to serve as the Company’s Chief Financial Officer and Treasurer, which updated certain items such as Mr. Jones’ start date that were provided in a press release published earlier the same morning. A copy of the press release is furnished herewith as Exhibit 99.1.

 

Item 9.01     Financial Statements and Exhibits

 

(d)     Exhibits

 

Exhibit No.

 

Description

99.1

 

Press Release, dated May 5, 2020

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

NovaBay Pharmaceuticals, Inc.

(Registrant)

   

By:

 

/s/ Justin Hall  

   

Justin Hall

   

President, Chief Executive Officer and General Counsel

 

Dated: May 5, 2020

 

 
ex_184737.htm

Exhibit 99.1

 

 

 

 

CORRECTING and REPLACING NovaBay Pharmaceuticals Appoints Andrew D. Jones Chief Financial Officer

 

CORRECTION...by NovaBay Pharmaceuticals, Inc.

 

EMERYVILLE, Calif.--Please replace the release with the following revised version, which includes a change in the effective date in the first paragraph, first sentence to May 4, 2020.

 

The corrected release reads:

 

NovaBay Pharmaceuticals Appoints Andrew D. Jones Chief Financial Officer

 

EMERYVILLE, Calif. (May 5, 2020) – NovaBay® Pharmaceuticals, Inc. (NYSE American: NBY) announces the appointment of Andrew D. Jones as Chief Financial Officer and Treasurer, effective May 4, 2020. Mr. Jones brings to NovaBay more than 20 years of finance and accounting experience primarily in the life sciences industry. He replaces Lynn Christopher, who assumed these positions on an interim basis in April 2020 and will continue to work with NovaBay to support a smooth transition.

 

“We are delighted to secure a well-qualified professional to fill our executive finance position on a permanent basis and to do so very quickly,” said Justin Hall, NovaBay CEO. “Andrew has served every critical function in finance and accounting from high-level strategic planning and financial modeling, budgeting and cash management, to technical accounting, audit and tax compliance, and managing daily accounting operations. The breadth of his finance and accounting experience, his background in the life sciences industry and relevant public company accounting expertise make him an excellent fit.”

 

“I look forward to serving as NovaBay’s CFO and using my entire skillset in an executive capacity in such a dynamic environment,” said Mr. Jones. “I’m committed to working closely with the NovaBay team to ensure financial accountability and prudence, and to achieve our goals for growth and business success.”

 

Mr. Jones most recently served as an independent consultant, helping companies to meet their accounting and finance requirements. He previously served as Vice President, Finance of MyoScience, Inc., a commercial-stage medical device company, through its acquisition by Pacira BioSciences. In this position, he was responsible for overseeing all accounting and finance functions as well as executive management and board-level reporting, including strategic planning decisions that resulted in significant revenue growth and gross margin improvements. Prior to MyoScience, Mr. Jones was Senior Director of Finance at Armetheon, Inc., a late-stage drug development company, and Corporate Controller of Asante Solutions, Inc., a medical device company now known as Bigfoot Biomedical, Inc., and Genelabs Technologies, Inc., a public biotechnology company acquired by GlaxoSmithKline. Earlier in his career he was a Senior Manager at PricewaterhouseCoopers providing clients with M&A advisory and audit services. Mr. Jones holds a BA in business administration from the University of Washington.

 

About NovaBay Pharmaceuticals, Inc.: Going Beyond Antibiotics®

NovaBay Pharmaceuticals, Inc. is a biopharmaceutical company focusing on commercializing and developing its non-antibiotic anti-infective products to address the unmet therapeutic needs of the global, topical anti-infective market with its two distinct product categories: the NEUTROX® family of products and the AGANOCIDE® compounds. The Neutrox family of products includes AVENOVA® for the eye care market, CELLERX® for the aesthetic dermatology market, and NEUTROPHASE® for wound care market.

 

 

 

Forward-Looking Statements

This release contains forward-looking statements that are based upon management’s current expectations, assumptions, estimates, projections and beliefs. These statements involve known and unknown risks, uncertainties and other factors that may cause actual results or achievements to be materially different and adverse from those expressed in or implied by the forward-looking statements. Risks relating to NovaBay’s business are detailed in NovaBay’s latest Form 10-Q/K filings with the Securities and Exchange Commission, under the heading “Risk Factors.” The forward-looking statements in this release speak only as of this date, and NovaBay disclaims any intent or obligation to revise or update publicly any forward-looking statement except as required by law.

 

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NovaBay Contact 

Justin Hall

CEO and General Counsel

510-899-8800

jhall@novabay.com

 

Investor Contact 

LHA Investor Relations

Jody Cain

310-691-7100
jcain@lhai.com 

 

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