# EDGAR Filing Document

**Accession Number:** 0001389545
**File Stem:** 0001829126-25-008295
**Filing Date:** 2025-10
**Character Count:** 8494
**Document Hash:** 12ba8f284a622f750d602e1034f79e36
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001829126-25-008295.hdr.sgml**: 20251021

**ACCESSION NUMBER**: 0001829126-25-008295

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20251020

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20251021

**DATE AS OF CHANGE**: 20251021

**FILER**: 

**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

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33678
- **FILM NUMBER:** 251405342

**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

?xml version='1.0' encoding='ASCII'?

**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 Report (Date of earliest event reported): October 20, 2025**

**NovaBay Pharmaceuticals, Inc.**

**(Exact name of registrant as specified in its charter)**

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-33678** | **68-0454536** |
| **(State or other jurisdiction<br> of incorporation)** | **(Commission<br> File Number)** | **(IRS Employer**<br> **Identification No.)** |

---

**2000 Powell Street, Suite 1150, Emeryville, CA 94608**

**(Address of principal executive offices and 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. ☐

**Item 8.01. Other Information.**

On October 20, 2025, NovaBay Pharmaceuticals, Inc. (the "Company") issued a press release that it has regained compliance with the continued listing standards of the NYSE American LLC ("NYSE American"). As previously disclosed, on June 4, 2024, NYSE American accepted the Company's plan to regain compliance with Section 1003(a) of the NYSE American Company Guide, which required the Company to have stockholders' equity of at least $6.0 million. The Company has now met this stockholders' equity requirement and is otherwise in compliance with the listing rules of the NYSE American.

A copy of the press release announcing the Company's return to compliance is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

**Item 9.01. Financial Statements and Exhibits.**

(d) Exhibits

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| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 99.1 | [Press Release, dated October 20, 2025.](novabay_ex99-1.htm) |

---

**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, thereunto duly authorized.

---

| | | | |
|:---|:---|:---|:---|
| Date: October 21, 2025 | **NovaBay Pharmaceuticals, Inc.** | **NovaBay Pharmaceuticals, Inc.** | **NovaBay Pharmaceuticals, Inc.** |
|  | By: | /s/ Tommy Law | /s/ Tommy Law |
|  |  | Name: | Tommy Law |
|  |  | Title: | Chief Financial Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

**NovaBay Pharmaceuticals, Inc. Regains Compliance with NYSE American Continued Listing Standards**

**EMERYVILLE, Calif. (October 20, 2025)** – <u>NovaBay Pharmaceuticals, Inc.</u> (NYSE American: NBY) ("NovaBay" or the "Company") announces that it has regained compliance with the NYSE American's continued listing standards.

As previously disclosed, the NYSE American notified the Company on April 18, 2024 and May 28, 2024 that it was not in compliance with the continued listing standards of the NYSE American Company Guide. Specifically, the notifications indicated that the Company was not in compliance with Sections 1003(a)(i), 1003(a)(ii) and 1003(a)(iii) of the Company guide, requiring a listed company to have stockholders' equity of at least $6 million.

Following the issuance and sale of pre-funded warrants to purchase an aggregate of 5,405,406 shares of the Company's common stock, par value $0.01 per share to certain investors for aggregate net proceeds of approximately $6.0 million and the issuance and sale an aggregate of 268,750 shares of Series E non-voting convertible preferred stock, par value $0.01 per share for aggregate net proceeds of approximately $2.15 million, the Company believes it currently has stockholders' equity in excess of the $6 million minimum requirement.

The NYSE American formally notified NovaBay in a letter dated October 20, 2025, confirming that the Company had successfully addressed and resolved all deficiencies related to Sections 1003(a)(i), (ii), and (iii) of the NYSE American Company Guide.

**About NovaBay Pharmaceuticals, Inc.:**

NovaBay Pharmaceuticals has been historically focused on the development and sale of scientifically created and clinically proven eyecare, wound care, and skin care products.

**Forward-Looking Statements**

*This release contains forward-looking statements that are based upon management's current expectations, assumptions, estimates, projections and beliefs. These statements include, but are not limited to, statements regarding our NYSE American listing status, our future momentum and generally the Company's expected future financial results. 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. Factors that might cause or contribute to such differences include, but are not limited to, risks and uncertainties relating to NYSE American's formal review and confirmation that we have regained compliance with NYSE American's listing standards and our ability to remain a publicly listed company by complying with all NYSE American listing standards including maintaining the minimum stockholder' equity in the future. Other risks relating to NovaBay's business, including risks that could cause results to differ materially from those projected in the forward-looking statements in this press release, are detailed in NovaBay's latest Form 10-Q/K filings with the Securities and Exchange Commission, especially 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.*

**Socialize and Stay informed on NovaBay's progress<br> Like us on <u>Facebook</u><br> Connect with NovaBay on <u>LinkedIn</u><br> Visit NovaBay's <u>Website</u>**

**NovaBay Contact:**

Tommy Law

Chief Financial Officer

<u>tlaw@novabay.com</u>