# EDGAR Filing Document

**Accession Number:** 0001932843
**File Stem:** 0000921895-25-002393
**Filing Date:** 2025-8
**Character Count:** 5840
**Document Hash:** 248048b9da076256507c99c697674665
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000921895-25-002393.hdr.sgml**: 20250826

**ACCESSION NUMBER**: 0000921895-25-002393

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250819

**FILED AS OF DATE**: 20250826

**DATE AS OF CHANGE**: 20250826

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Lazar David E.
- **CENTRAL INDEX KEY:** 0001932843

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33678
- **FILM NUMBER:** 251257854

**MAIL ADDRESS:**
- **STREET 1:** 44, TOWER 100, THE TOWERS
- **STREET 2:** WINSTON CHURCHILL, PAITILLA
- **CITY:** PANAMA CITY
- **STATE:** R1
- **ZIP:** 07196
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NovaBay Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001389545
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 680454536
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 2000 POWELL STREET, SUITE 1150
- **CITY:** EMERYVILLE
- **STATE:** CA
- **ZIP:** 94608
- **BUSINESS PHONE:** (510) 899-8800

**MAIL ADDRESS:**
- **STREET 1:** 2000 POWELL STREET, SUITE 1150
- **CITY:** EMERYVILLE
- **STATE:** CA
- **ZIP:** 94608

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Lazar David E.<br><sub>(Last) (First) (Middle)</sub><br>44, TOWER 100, THE TOWERS<br>WINSTON CHURCHILL, PAITILLA<br><sub>(Street)</sub><br>PANAMA CITY, R1 07196<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>NovaBay Pharmaceuticals, Inc. [ NBY ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2025-08-19 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director   [X] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Chief Executive Officer_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |
| Common Stock | 0<sup>(1)</sup> | D |  |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Series D Convertible Preferred Stock<sup>(2)(3)</sup> | 2025-08-19 | <sup>(4)</sup> | Common Stock | 77000000 | <sup>(5)</sup> | D |  |

---

### Footnotes:

(1) No shares of Common Stock are beneficially owned.

(2) On August 19, 2025, David E. Lazar (the "Reporting Person") and NovaBay Pharmaceuticals, Inc. (the "Company"), entered into a securies purchase agreement pursuant to which the Reporting Person will acquire (i) an aggregate of 481,250 shares of the Company's Series D Convertible Preferred Stock (the "Series D Preferred Stock") at a price of $20.00 per share and (ii) an aggregate of 268,750 shares of the Company's Series E Convertible Preferred Stock (the "Series E Preferred Stock") at a price of $20.00 per share. Each share of Series D Preferred Stock is convertible into 160 shares of the Company's Common Stock at any time, subject to certain ownership limitations. The initial closing took place on August 19, 2025, whereby the Reporting Person acquired 481,250 shares of Series D Preferred Stock for a total purchase price of $3,850,000.

(3) The Reporting Person will acquire the shares of Series E Preferred Stock at a subsequent closing, subject to satisfaction of certain closing conditions, for a total purchase price of $2,150,000. Each share of Series E Preferred Stock will be convertible into 160 shares of the Company's Common Stock at any time, subject to certain ownership limitations.

(4) The Series D Preferred Stock is perpetual and therefore has no expiration date.

(5) The shares of Series D Preferred Stock are convertible at the option of the Reporting Person for no additional consideration.

**Signature:** /s/ David E. Lazar  
**Date:** 2025-08-26

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**