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NovaBay Pharmaceuticals, Inc. – ‘10-Q’ for 9/30/23 – ‘XML’

On:  Thursday, 11/9/23, at 4:10pm ET   ·   For:  9/30/23   ·   Accession #:  1437749-23-31256   ·   File #:  1-33678

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/09/23  NovaBay Pharmaceuticals, Inc.     10-Q        9/30/23   95:10M                                    RDG Filings/FA

Quarterly Report   —   Form 10-Q

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-Q        Quarterly Report                                    HTML   1.87M 
 2: EX-31.1     Certification -- §302 - SOA'02                      HTML     30K 
 3: EX-31.2     Certification -- §302 - SOA'02                      HTML     30K 
 4: EX-32.1     Certification -- §906 - SOA'02                      HTML     27K 
 5: EX-32.2     Certification -- §906 - SOA'02                      HTML     27K 
11: R1          Document And Entity Information                     HTML     79K 
12: R2          Condensed Consolidated Balance Sheets (Current      HTML    125K 
                Period Unaudited)                                                
13: R3          Condensed Consolidated Balance Sheets (Current      HTML     54K 
                Period Unaudited) (Parentheticals)                               
14: R4          Condensed Consolidated Statements of Operations     HTML     98K 
                (Unaudited)                                                      
15: R5          Condensed Consolidated Statements of Stockholders'  HTML    161K 
                Equity (Unaudited)                                               
16: R6          Condensed Consolidated Statements of Cash Flows     HTML    138K 
                (Unaudited)                                                      
17: R7          Note 1 - Organization                               HTML     39K 
18: R8          Note 2 - Summary of Significant Accounting          HTML    144K 
                Policies                                                         
19: R9          Note 3 - Fair Value Measurements                    HTML     76K 
20: R10         Note 4 - Prepaid Expenses and Other Current Assets  HTML     38K 
21: R11         Note 5 - Inventory                                  HTML     35K 
22: R12         Note 6 - Property and Equipment                     HTML     39K 
23: R13         Note 7 - Other Intangible Assets                    HTML     64K 
24: R14         Note 8 - Accrued Liabilities                        HTML     38K 
25: R15         Note 9 - Convertible Note                           HTML     58K 
26: R16         Note 10 - Commitments and Contingencies             HTML     57K 
27: R17         Note 11 - Warrant Liability                         HTML     82K 
28: R18         Note 12 - Stockholders' Equity                      HTML    149K 
29: R19         Note 13 - Equity-based Compensation                 HTML     83K 
30: R20         Note 14 - Distribution Agreements                   HTML     45K 
31: R21         Note 15 - Employee Benefit Plan                     HTML     33K 
32: R22         Note 16 - Related Party Transactions                HTML     47K 
33: R23         Note 17 - Segment Reporting                         HTML     88K 
34: R24         Note 18 - Subsequent Events                         HTML     30K 
35: R25         Significant Accounting Policies (Policies)          HTML    198K 
36: R26         Note 2 - Summary of Significant Accounting          HTML     90K 
                Policies (Tables)                                                
37: R27         Note 3 - Fair Value Measurements (Tables)           HTML     71K 
38: R28         Note 4 - Prepaid Expenses and Other Current Assets  HTML     38K 
                (Tables)                                                         
39: R29         Note 5 - Inventory (Tables)                         HTML     35K 
40: R30         Note 6 - Property and Equipment (Tables)            HTML     37K 
41: R31         Note 7 - Other Intangible Assets (Tables)           HTML     64K 
42: R32         Note 8 - Accrued Liabilities (Tables)               HTML     37K 
43: R33         Note 9 - Convertible Note (Tables)                  HTML     49K 
44: R34         Note 10 - Commitments and Contingencies (Tables)    HTML     50K 
45: R35         Note 11 - Warrant Liability (Tables)                HTML     71K 
46: R36         Note 12 - Stockholders' Equity (Tables)             HTML    110K 
47: R37         Note 13 - Equity-based Compensation (Tables)        HTML     73K 
48: R38         Note 14 - Distribution Agreements (Tables)          HTML     38K 
49: R39         Note 16 - Related Party Transactions (Tables)       HTML     42K 
50: R40         Note 17 - Segment Reporting (Tables)                HTML     83K 
51: R41         Note 1 - Organization (Details Textual)             HTML     30K 
52: R42         Note 2 - Summary of Significant Accounting          HTML     70K 
                Policies (Details Textual)                                       
53: R43         Note 2 - Summary of Significant Accounting          HTML     35K 
                Policies - Components of Cash, Cash Equivalents,                 
                and Restricted Cash (Details)                                    
54: R44         Note 2 - Summary of Significant Accounting          HTML     41K 
                Policies - Disaggregation of Revenue (Details)                   
55: R45         Note 2 - Summary of Significant Accounting          HTML     40K 
                Policies - Revenues and Accounts Receivable from                 
                Major Distribution Partners and Customers                        
                (Details)                                                        
56: R46         Note 2 - Summary of Significant Accounting          HTML     60K 
                Policies - Calculation of Basic and Diluted EPS                  
                (Details)                                                        
57: R47         Note 2 - Summary of Significant Accounting          HTML     36K 
                Policies - Outstanding Stock Options and Stock                   
                Warrants Excluded from the Diluted Net Loss Per                  
                Share Computation (Details)                                      
58: R48         Note 3 - Fair Value Measurements - Assets and       HTML     39K 
                Liabilities Measured at Fair Value on a Recurring                
                Basis (Details)                                                  
59: R49         Note 4 - Prepaid Expenses and Other Current Assets  HTML     41K 
                - Summary of Prepaid Expenses and Other Current                  
                Assets (Details)                                                 
60: R50         Note 5 - Inventory - Summary of Inventory           HTML     34K 
                (Details)                                                        
61: R51         Note 6 - Property and Equipment (Details Textual)   HTML     27K 
62: R52         Note 6 - Property and Equipment - Summary of        HTML     41K 
                Property and Equipment (Details)                                 
63: R53         Note 7 - Other Intangible Assets (Details Textual)  HTML     34K 
64: R54         Note 7 - Other Intangible Assets - Schedule of      HTML     50K 
                Finite-lived Intangible Assets (Details)                         
65: R55         Note 7 - Other Intangible Assets - Schedule of      HTML     38K 
                Finite-Lived Intangible Assets, Future                           
                Amortization Expense (Details)                                   
66: R56         Note 8 - Accrued Liabilities - Summary of Accrued   HTML     39K 
                Liabilities (Details)                                            
67: R57         Note 9 - Convertible Note (Details Textual)         HTML     91K 
68: R58         Note 9 - Convertible Note - Key Assumptions of      HTML     36K 
                Combined Embedded Derivative (Details)                           
69: R59         Note 9 - Convertible Note - Debenture (Details)     HTML     37K 
70: R60         Note 9 - Convertible Note - Contractual Maturity    HTML     35K 
                (Details)                                                        
71: R61         Note 10 - Commitments and Contingencies (Details    HTML     28K 
                Textual)                                                         
72: R62         Note 10 - Commitments and Contingencies - Lease     HTML     35K 
                Expense (Details)                                                
73: R63         Note 10 - Commitments and Contingencies - Schedule  HTML     46K 
                of Future Lease Payments (Details)                               
74: R64         Note 11 - Warrant Liability (Details Textual)       HTML     50K 
75: R65         Note 11 - Warrant Liability - The Key Assumptions   HTML     90K 
                Used to Value the Warrants (Details)                             
76: R66         Note 12 - Stockholders' Equity (Details Textual)    HTML    271K 
77: R67         Note 12 - Stockholders' Equity - The Key            HTML     70K 
                Assumptions Used to Value the Warrants (Details)                 
78: R68         Note 12 - Stockholders' Equity - Preferred Stock    HTML     47K 
                Assumptions (Details)                                            
79: R69         Note 12 - Stockholders' Equity - Outstanding        HTML     37K 
                Warrants (Details)                                               
80: R70         Note 13 - Equity-based Compensation (Details        HTML     87K 
                Textual)                                                         
81: R71         Note 13 - Equity-based Compensation - Stock         HTML     76K 
                Options Outstanding (Details)                                    
82: R72         Note 13 - Equity-based Compensation -               HTML     38K 
                Weighted-average Assumptions Used in Determining                 
                the Value of Options Granted to Employees and                    
                Directors (Details)                                              
83: R73         Note 13 - Equity-based Compensation - Summary of    HTML     33K 
                Stock-based Compensation Expense Included in                     
                Results of Operations (Details)                                  
84: R74         Note 14 - Distribution Agreements (Details          HTML     48K 
                Textual)                                                         
85: R75         Note 14 - Distribution Agreements - Changes in      HTML     40K 
                Assets and Liabilities (Details)                                 
86: R76         Note 15 - Employee Benefit Plan (Details Textual)   HTML     37K 
87: R77         Note 16 - Related Party Transactions (Details       HTML     29K 
                Textual)                                                         
88: R78         Note 16 - Related Party Transactions - Related      HTML     37K 
                Party Revenue, Cost of Goods Sold, and Expenses                  
                (Details)                                                        
89: R79         Note 17 - Segment Reporting (Details Textual)       HTML     27K 
90: R80         Note 17 - Segment Reporting - Financial             HTML     46K 
                Information by Segment (Details)                                 
93: XML         IDEA XML File -- Filing Summary                      XML    181K 
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92: EXCEL       IDEA Workbook of Financial Report Info              XLSX    178K 
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10: EX-101.PRE  XBRL Presentations -- nby-20230930_pre               XML   1.63M 
 6: EX-101.SCH  XBRL Schema -- nby-20230930                          XSD    268K 
94: JSON        XBRL Instance as JSON Data -- MetaLinks              522±   861K 
95: ZIP         XBRL Zipped Folder -- 0001437749-23-031256-xbrl      Zip    313K 


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13 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 6/14/23  NovaBay Pharmaceuticals, Inc.     8-K:5,9     6/09/23   12:412K                                   RDG Filings/FA
 4/27/23  NovaBay Pharmaceuticals, Inc.     8-K:1,2,3,8 4/27/23   21:1.5M                                   RDG Filings/FA
11/18/22  NovaBay Pharmaceuticals, Inc.     8-K:1,5,9  11/14/22   13:324K                                   RDG Filings/FA
 9/13/22  NovaBay Pharmaceuticals, Inc.     8-K:1,3,8,9 9/09/22   26:1.9M                                   RDG Filings/FA
 2/01/22  NovaBay Pharmaceuticals, Inc.     8-K:5,9     1/31/22   12:170K                                   RDG Filings/FA
11/01/21  NovaBay Pharmaceuticals, Inc.     8-K:1,3,5,810/29/21   16:998K                                   RDG Filings/FA
 9/28/21  NovaBay Pharmaceuticals, Inc.     8-K:1,3,7,9 9/27/21   13:1M                                     RDG Filings/FA
 5/24/21  NovaBay Pharmaceuticals, Inc.     8-K:5,9     5/21/21    2:41K                                    RDG Filings/FA
 7/21/20  NovaBay Pharmaceuticals, Inc.     8-K:1,2,3,9 7/20/20    5:278K                                   RDG Filings/FA
 5/28/20  NovaBay Pharmaceuticals, Inc.     8-K:5,9     5/26/20    2:37K                                    RDG Filings/FA
 5/18/20  NovaBay Pharmaceuticals, Inc.     8-K:1,3,9   5/13/20    4:259K                                   RDG Filings/FA
 6/04/18  NovaBay Pharmaceuticals, Inc.     8-K:5,9     5/31/18    2:41K                                    RDG Filings/FA
 3/21/18  NovaBay Pharmaceuticals, Inc.     10-K       12/31/17   90:10M                                    RDG Filings/FA
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