# EDGAR Filing Document

**Accession Number:** 0002028474
**File Stem:** 0001829126-25-008355
**Filing Date:** 2025-10
**Character Count:** 16677
**Document Hash:** d6d1584e837c009b45d2e2845ade490b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001829126-25-008355.hdr.sgml**: 20251022

**ACCESSION NUMBER**: 0001829126-25-008355

**CONFORMED SUBMISSION TYPE**: 4/A

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20251016

**FILED AS OF DATE**: 20251022

**DATE AS OF CHANGE**: 20251022

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Framework Ventures Management LLC
- **CENTRAL INDEX KEY:** 0002091751

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33678
- **FILM NUMBER:** 251411241

**BUSINESS ADDRESS:**
- **STREET 1:** C/O FRAMEWORK VENTURES
- **STREET 2:** 600 MONTGOMERY STREET. 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
- **BUSINESS PHONE:** 628-233-0357

**MAIL ADDRESS:**
- **STREET 1:** C/O FRAMEWORK VENTURES
- **STREET 2:** 600 MONTGOMERY STREET. 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Framework Ventures IV L.P.
- **CENTRAL INDEX KEY:** 0002028474

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33678
- **FILM NUMBER:** 251411242

**BUSINESS ADDRESS:**
- **STREET 1:** 600 MONTGOMERY STREET, 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
- **BUSINESS PHONE:** (628) 233-0357

**MAIL ADDRESS:**
- **STREET 1:** 600 MONTGOMERY STREET, 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Anderson Michael Ernest
- **CENTRAL INDEX KEY:** 0002093174

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33678
- **FILM NUMBER:** 251411239

**MAIL ADDRESS:**
- **STREET 1:** C/O FRAMEWORK VENTURES
- **STREET 2:** 600 MONTGOMERY STREET, 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Spencer Vance
- **CENTRAL INDEX KEY:** 0002092030

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33678
- **FILM NUMBER:** 251411238

**MAIL ADDRESS:**
- **STREET 1:** C/O FRAMEWORK VENTURES
- **STREET 2:** 600 MONTGOMERY STREET, 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Framework Ventures IV GP LLC
- **CENTRAL INDEX KEY:** 0002092591

**ORGANIZATION NAME:**
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 4/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33678
- **FILM NUMBER:** 251411240

**BUSINESS ADDRESS:**
- **STREET 1:** C/O FRAMEWORK VENTURES
- **STREET 2:** 600 MONTGOMERY STREET. 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
- **BUSINESS PHONE:** 628-233-0357

**MAIL ADDRESS:**
- **STREET 1:** C/O FRAMEWORK VENTURES
- **STREET 2:** 600 MONTGOMERY STREET. 42ND FLOOR
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
**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

## Exhibit 99.1

**Exhibit 99.1**

**JOINT FILING AGREEMENT** 

The undersigned hereby agree that the foregoing statement on Form 4 is filed on behalf of each of the undersigned, and any amendments thereto executed by the undersigned shall be filed on behalf of each of the undersigned without the necessity of filing any additional joint filing agreement. The undersigned acknowledge that each is responsible for the timely filing of such statement on Form 4 and any amendments thereto, and for the completeness and accuracy of the information concerning him or it contained therein, but shall not be responsible for the completeness or accuracy of the information concerning the others of the undersigned, except to the extent that he or it knows or has reason to believe that such information is inaccurate or incomplete. This Joint Filing Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument.

Dated: October 20, 2025

---

| | |
|:---|:---|
| **FRAMEWORK VENTURES IV L.P.** | **FRAMEWORK VENTURES IV L.P.** |
| By: | /s/ Michael Ernest Anderson |
|  | Michael Ernest Anderson, Authorized Signatory |

---

---

| | |
|:---|:---|
| **FRAMEWORK VENTURES MANAGEMENT LLC** | **FRAMEWORK VENTURES MANAGEMENT LLC** |
| By: | /s/ Michael Ernest Anderson |
|  | Michael Ernest Anderson, Authorized Signatory |

---

---

| | |
|:---|:---|
| **FRAMEWORK VENTURES IV GP LLC** | **FRAMEWORK VENTURES IV GP LLC** |
| By: | /s/ Michael Ernest Anderson |
|  | Michael Ernest Anderson, Authorized Signatory |

---

---

| | |
|:---|:---|
| **MICHAEL ERNEST ANDERSON** | **MICHAEL ERNEST ANDERSON** |
|  | /s/ Michael Ernest Anderson |
|  | Michael Ernest Anderson |

---

---

| | |
|:---|:---|
| **VANCE SPENCER** | **VANCE SPENCER** |
|  | /s/ Vance Spencer |
|  | Vance Spencer |

---

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

## FORM 4/A

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Framework Ventures IV L.P.<br><sub>(Last) (First) (Middle)</sub><br>600 MONTGOMERY STREET, FLOOR 42<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94111<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-10-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NovaBay Pharmaceuticals, Inc. [ NBY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Framework Ventures Management LLC<br><sub>(Last) (First) (Middle)</sub><br>600 MONTGOMERY STREET. FLOOR 42<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94111<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-10-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NovaBay Pharmaceuticals, Inc. [ NBY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Framework Ventures IV GP LLC<br><sub>(Last) (First) (Middle)</sub><br>600 MONTGOMERY STREET, FLOOR 42<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94111<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-10-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NovaBay Pharmaceuticals, Inc. [ NBY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Anderson Michael Ernest<br><sub>(Last) (First) (Middle)</sub><br>600 MONTGOMERY STREET, FLOOR 42<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94111<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-10-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NovaBay Pharmaceuticals, Inc. [ NBY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Spencer Vance<br><sub>(Last) (First) (Middle)</sub><br>600 MONTGOMERY STREET, FLOOR 42<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94111<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-10-16 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>NovaBay Pharmaceuticals, Inc. [ NBY ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[ ] Form filed by One Reporting Person<br>[X] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Series D Non-Voting Convertible Preferred Stock | $0.00 | 2025-10-16 |  | J |  | 220663<sup>(1)</sup> |  | 2025-10-16<sup>(2)</sup> | <sup>(2)</sup> | Common Stock | 35306080<sup>(2)</sup> | $0 | 220663<sup>(1)</sup> | D<sup>(3)</sup> |  |
| Series E Non-Voting Convertible Preferred Stock | $0.00 | 2025-10-16 |  | J |  | 134375<sup>(1)</sup> |  | 2025-10-16<sup>(2)</sup> | <sup>(2)</sup> | Common Stock | 21500000<sup>(2)</sup> | $0 | 134375<sup>(1)</sup> | D<sup>(3)</sup> |  |

---

### Footnotes:

(1) On October 9, 2025, Framework Ventures IV L.P. ("Framework LP"), David Lazar (the "Seller") and certain other investors entered into a securities purchase agreement pursuant to which Framework LP purchased all of Seller's rights, title and interest in (i) 220,663 shares of the Issuer's Series D Non-Voting Convertible Preferred Stock, par value $0.01 per share (the "Series D Preferred Stock") and (ii) the rights and obligation to purchase 134,375 shares of the Issuer's Series E Non-Voting Convertible Preferred Stock, par value $0.01 per share (the "Series E Preferred Stock").

(2) Following stockholder approvals of proposals 5 and 9 set forth in the Issuer's Definitive Proxy Statement on Schedule 14A, filed by the Issuer with the Securities and Exchange Commission on September 23, 2025, at the Issuer's annual meeting on October 16, 2025 (the "Meeting"), (i) each share of Series D Convertible Preferred Stock will automatically convert into 160 shares of common stock at the option of the holder or within three business days of the Meeting, and (ii) the Issuer issued the Series E Preferred Stock, each share of which will automatically convert into 160 shares of common stock at the option of the holder or within thirty business days of the Meeting.

(3) The reported securities may also be deemed to be beneficially owned by Framework Ventures GP IV LLC ("Framework GP"), Framework Ventures Management LLC ("Framework Management"), Vance Spencer ("Mr. Spencer") and Michael Ernest Anderson ("Mr. Anderson" and together with Framework GP, Framework Management, Mr. Spencer and Framework LP, the "Framework Entities"), each of which or whom disclaim beneficial ownership of these shares, except to the extent of its or his pecuniary interest in such shares, if any. Framework GP is the general partner of Framework LP. Framework Management is the investment manager for Framework GP. Mr. Spencer and Mr. Anderson are members and the managers of Framework GP and the managing members of Framework Management.

**Remarks:**
This filing amends the Form 4 filed on October 20, 2025 solely to reflect the addition of Michael Ernest Anderson as a reporting person. Mr. Anderson had not yet obtained EDGAR codes at the time of filing the prior Form 4 and has since obtained EDGAR codes. Framework LP, Framework GP, Framework Management, Mr. Spencer and Mr. Anderson are jointly filing this Form 4 pursuant to the Joint Filing Agreement, dated October 20, 2025, filed with the Securities and Exchange Commission herewith (the "Joint Filing Agreement"). Exhibit List: Exhibit 99.1 - Joint Filing Agreement.

**Signature:** /s/ Michael Ernest Anderson  
**Date:** 2025-10-22

**Signature:** /s/ Michael Ernest Anderson  
**Date:** 2025-10-22

**Signature:** /s/ Michael Ernest Anderson  
**Date:** 2025-10-22

**Signature:** /s/ Michael Ernest Anderson  
**Date:** 2025-10-22

**Signature:** /s/ Vance Spencer  
**Date:** 2025-10-22

### 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.**