Item 5. Other Information
ITEM 5.
OTHER INFORMATION
 
None.
 
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Table of Contents
 
ITEM 6.
EXHIBITS
 
The following exhibits are filed with or incorporated by reference into this report.
 
EXHIBIT INDEX
 
 
Incorporation by Reference
Filed
Herewith
Exhibit
Number
Exhibit Description
Form
File
Number
Exhibit/
Form 8-K
Item
Reference
Filing
Date
 
2.1
Membership Unit Purchase Agreement dated September 27, 2021, by and among the Company, DERMAdoctor, the Founders and the Sellers (as defined therein)
8-K
001-3678
2.1
9/28/2021
 
3.1
Amended and Restated Certificate of Incorporation of NovaBay Pharmaceuticals, Inc.
10-K
001-33678
3.1
3/21/2018
 
3.2
Amendment to the Amended and Restated Certificate of Incorporation
8-K
001-33678
3.1
6/04/2018
 
3.3
Amendment to the Amended and Restated Certificate of Incorporation, as amended
8-K
001-33678
3.1
5/28/2020
 
3.4
Amendment to the Amended and Restated Certificate of Incorporation, as amended, dated May 24, 2021
8-K
001-33678
3.1
5/24/2021
 
3.5
Amendment to the Amended and Restated Certificate of Incorporation, as amended, dated January 31, 2022
8-K
001-33678
3.1
2/1/2022
 
3.6
Certificate of Designation for the Series B Preferred Stock
8-K
001-33678
3.1
11/1/2021
 
3.7
Amended and Restated Bylaws
10-K 
001-33678 
3.7 
3/29/2022
 
4.1
Description of Securities
10-K
001-33678
4.1
3/29/2022
 
4.2
Form of Warrant pursuant to the Services Agreement with TLF Bio Innovation Lab, LLC, dated May 13, 2020
8-K
001-33678
4.1
5/18/2020
 
4.3
Form of July 2020 Warrant
8-K
001-33678
4.1
7/21/2020
 
4.4
Form of November 2021 Warrant
8-K
001-33678
4.1
11/01/2021
 
10.1
Office Lease by and between the Company and KBSIII Towers at Emeryville, LLC, dated August 24, 2016 (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on August 26, 2016)
8-K
001-33678
10.1
8/26/2016 
 
10.2
First Amendment to Office Lease by and between the Company and KBSIII Towers at Emeryville, LLC, dated January 24, 2022
8-K
001-33678
10.2
1/28/2022
 
10.3+
Executive Employment Agreement with Justin M. Hall, dated January 31, 2020 (incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on February 6, 2020)
8-K
001-33678
10.1
2/6/2020
 
10.4+
First Amendment to Executive Employment Agreement with Justin M. Hall, dated January 26, 2022
8-K
001-33678
10.6
1/28/2022
 
 
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31.1
Certification of the Principal Executive Officer of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a)
 
 
 
 
X
31.2
Certification of the Principal Financial Officer of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(a) or Rule 15d-14(a)
 
 
 
 
X
32.1
Certification by the Chief Executive Officer   of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(b) or 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18   U.S.C. 1350)
 
 
 
 
X
32.2
Certification by the Chief Financial Officer of NovaBay Pharmaceuticals, Inc., as required by Rule 13a-14(b) or 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18   U.S.C. 1350)
 
 
 
 
X
101.INS
Inline XBRL Instance Document
 
 
 
 
X
101.SCH
Inline XBRL Taxonomy Extension Schema Document 
 
 
 
 
X
101.CAL
Inline XBRL Taxonomy Extension Calculation Linkbase Document
 
 
 
 
X
101.DEF
Inline XBRL Taxonomy Extension Definition Linkbase
 
 
 
 
X
101.LAB
Inline XBRL Taxonomy Extension Labels Linkbase Document
 
 
 
 
X
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase Document
 
 
 
 
X
104
The Cover Page Interactive Data File, formatted in Inline XBRL (included within the Exhibit 101 attachments)
 
 
 
 
X
 
+
Indicates a management contract or compensatory plan or arrangement
 
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SIGNATURES
 
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report on Form 10-Q to be signed on its behalf by the undersigned, thereunto duly authorized.
 
Date: May 12, 2022
 
 
By:
/s/   Justin Hall 
 
 
Justin Hall 
Chief Executive Officer, General Counsel and Director
(principal executive officer)
 
Date: May 12, 2022
 
 
By:
/s/   Andrew Jones 
 
 
Andrew Jones
Chief Financial Officer
(principal financial officer)
 
-51-
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.