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<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>UNITED STATES</b></p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>WASHINGTON, D.C. 20549</b></p>

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<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>FORM 8-K</b></p>

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<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>CURRENT REPORT</b></p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>Pursuant to Section 13 or 15(d) of the</b></p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>Securities Exchange Act of 1934</b></p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>&nbsp;</b></p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>Date of earliest event reported: </b>September 11, 2019</p>

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<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;">NovaBay Pharmaceuticals, Inc.</p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>(Exact Name of Registrant as Specified in Charter)</b></p>

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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;">Delaware</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;">001-33678</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;">68-0454536</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>(State or Other Jurisdiction</b></p>

			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>of Incorporation)</b></p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>(Commission File Number)</b></p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>(I.R.S. Employer</b></p>

			<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>Identification No.)</b></p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>&nbsp;</b></p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;">2000 Powell Street, Suite 1150, Emeryville, CA&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;94608</p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>(Address of Principal Executive Offices) (Zip Code)</b></p>

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<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;">(510) 899-8800</p>

<p style="font-family: &quot;Times New Roman&quot;; font-size: 12pt; margin: 0pt; text-align: center;"><b>(Registrant&#8217;s telephone number, including area code)</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">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):</p>

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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">&#9744;</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">&#9744;</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">&#9744;</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">&#9744;</p>
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			<p style="font-family: &quot;Times New Roman&quot;; font-size: 10pt; margin: 0pt; text-align: left;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Securities registered pursuant to Section 12(b) of the Act:</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>Title of Each Class</b></u></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>Trading Symbol(s)</b></u></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><u><b>Name of Each Exchange On Which Registered</b></u></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Common Stock, par value $0.01 per share</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">NBY</p>
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			<td style="vertical-align: top; width: 1%;">&nbsp;</td>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">NYSE American</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;&#8201;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167;&#8201;240.12b-2 of this chapter). Emerging growth company &#9744;</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">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. &#9744;</p>

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			<p style="font-family: &quot;Times New Roman&quot;; margin-right: 0pt; margin-top: 0pt; text-align: left; margin-bottom: 0pt; font-size: 10pt;"><b>Ite</b><b>m 5.02.</b></p>
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			<p style="font-family: &quot;Times New Roman&quot;; margin-right: 0pt; margin-top: 0pt; text-align: left; margin-bottom: 0pt; font-size: 10pt;"><b>Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers</b></p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">(b)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;On September 11, 2019, Todd Zavodnick informed the Board of Directors (the &#8220;Board&#8221;) of NovaBay Pharmaceuticals, Inc. (the &#8220;Company&#8221;) that he will resign as a member of the Company&#8217;s Board, with such resignation to be effective immediately. Mr. Zavodnick did not resign as a result of any disagreements with the Company on any matter relating to the Company&#8217;s operations, policies or practices.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">(d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;On September 16, 2019, the Company announced that effective as of September 11, 2019, upon the resignation of Mr. Zavodnick, the Board appointed Dr. Yenyou (Jeff) Zheng&nbsp;to fill the vacancy on the Board resulting from the resignation of Mr. Zavodnick. Dr. Zheng will take Mr. Zavodnick&#8217;s place as a Class I director to serve until the Company&#8217;s Annual Meeting of Stockholders in 2020, subject to his prior death, resignation or removal from office as provided by law. Dr.&nbsp;Zheng is an independent member of the Board and will serve on the Company&#8217;s Audit Committee, Compensation Committee and Nominating and Corporate Governance Committee, including serving as the Chair of the Nominating and Corporate Governance Committee.</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;">Dr. Zheng, age 63, has served as the Director of Business Development of Spartan Securities Group, Ltd. since 2014. Dr. Zheng&#8217;s experience includes providing innovative financial solutions and consulting services for initial public offering underwriting and investment banking as well as corporate financing solutions with a particular focus on Chinese companies listed overseas. Dr.&nbsp;Zheng&nbsp; previously was a financial advisor for various Canadian public companies including: P &amp; P Ventures Inc. (TSX-V: PPV.H) where he served as president and a director; Damon Capital Corp (TSX-V: DAM.H) where he served as Chief Financial Officer and a director; and Cantronic Systems Inc. (TSX-V: CTS) where he served as a director and chair of the audit committee. Dr.&nbsp;Zheng&nbsp;received a Ph.D in physics from Flinders University of South Australia.</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;">There is no&nbsp;other arrangement or understanding between Dr.&nbsp;Zheng&nbsp;and any other person pursuant to which he was appointed as a director of the Company. In connection with his service, Dr.&nbsp;Zheng&nbsp;will receive the Company&#8217;s standard director&#8217;s compensation package.&nbsp;&nbsp;</p>

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			<p style="font-family: &quot;Times New Roman&quot;; margin-right: 0pt; margin-top: 0pt; text-align: left; margin-bottom: 0pt; font-size: 10pt;"><b>Item&nbsp;9.01</b></p>
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			<p style="font-family: &quot;Times New Roman&quot;; margin-right: 0pt; margin-top: 0pt; text-align: left; margin-bottom: 0pt; font-size: 10pt;"><b>Financial Statements and Exhibits.</b></p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">(d)&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<u>Exhibits</u>.</p>

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			<td style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; width: 90%;"><b>Description</b></td>
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			<td style="width: 9%; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">99.1</td>
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			<td style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; width: 90%;"><a href="ex_157885.htm" style="-sec-extract:exhibit;">Press Release, dated September 16, 2019</a></td>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>SIGNATURES</b></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;">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.</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>NovaBay Pharmaceuticals, Inc.</b></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">By:</p>
			</td>
			<td style="vertical-align: bottom; border-bottom: 1px solid rgb(0, 0, 0); width: 47%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">/s/ Justin Hall</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align: top; width: 50%;">&nbsp;</td>
			<td style="vertical-align: top; width: 3%;">&nbsp;</td>
			<td style="vertical-align: top; width: 47%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Justin Hall</p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align: top; width: 50%;">&nbsp;</td>
			<td style="vertical-align: top; width: 3%;">&nbsp;</td>
			<td style="vertical-align: top; width: 47%;">
			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">President &amp; Chief Executive Officer and&nbsp;General Counsel</p>
			</td>
		</tr>

</table>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Dated: September 16, 2019</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>


</body></html>
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nby20190914_8k.htm
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:
September 11, 2019
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)
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))
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
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. ☐
Ite
m 5.02.
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
(b)          On September 11, 2019, Todd Zavodnick informed the Board of Directors (the "Board") of NovaBay Pharmaceuticals, Inc. (the "Company") that he will resign as a member of the Company's Board, with such resignation to be effective immediately. Mr. Zavodnick did not resign as a result of any disagreements with the Company on any matter relating to the Company's operations, policies or practices.
(d)          On September 16, 2019, the Company announced that effective as of September 11, 2019, upon the resignation of Mr. Zavodnick, the Board appointed Dr. Yenyou (Jeff) Zheng to fill the vacancy on the Board resulting from the resignation of Mr. Zavodnick. Dr. Zheng will take Mr. Zavodnick's place as a Class I director to serve until the Company's Annual Meeting of Stockholders in 2020, subject to his prior death, resignation or removal from office as provided by law. Dr. Zheng is an independent member of the Board and will serve on the Company's Audit Committee, Compensation Committee and Nominating and Corporate Governance Committee, including serving as the Chair of the Nominating and Corporate Governance Committee.
Dr. Zheng, age 63, has served as the Director of Business Development of Spartan Securities Group, Ltd. since 2014. Dr. Zheng's experience includes providing innovative financial solutions and consulting services for initial public offering underwriting and investment banking as well as corporate financing solutions with a particular focus on Chinese companies listed overseas. Dr. Zheng  previously was a financial advisor for various Canadian public companies including: P & P Ventures Inc. (TSX-V: PPV.H) where he served as president and a director; Damon Capital Corp (TSX-V: DAM.H) where he served as Chief Financial Officer and a director; and Cantronic Systems Inc. (TSX-V: CTS) where he served as a director and chair of the audit committee. Dr. Zheng received a Ph.D in physics from Flinders University of South Australia.
There is no other arrangement or understanding between Dr. Zheng and any other person pursuant to which he was appointed as a director of the Company. In connection with his service, Dr. Zheng will receive the Company's standard director's compensation package.
Item 9.01
Financial Statements and Exhibits.
(d)
Exhibits
.
Exhibit No.
Description
99.1
Press Release, dated September 16, 2019
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.
By:
/s/ Justin Hall
Justin Hall
President & Chief Executive Officer and General Counsel
Dated: September 16, 2019