NovaBay Pharmaceuticals, Inc. — Director's Dealing 2016

Jan 8, 2016

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: NovaBay Pharmaceuticals, Inc. (NBY)
CIK: 0001389545
Period of Report: 2015-12-29

Reporting Person: Hall Justin (General Counsel)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	400	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Incentive Stock Option (right to buy)	$30.5000	2023-02-01	Common Stock (1200)		Direct
Incentive Stock Option (right to buy)	$42.7500	2023-09-26	Common Stock (760)		Direct
Incentive Stock Option (right to buy)	$18.7500	2024-09-26	Common Stock (1200)		Direct
Incentive Stock Option (right to buy)	$6.7500	2025-10-01	Common Stock (2000)		Direct
Restricted Stock Units	$		Common Stock (1000)		Direct

Footnotes

F1: Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% vested on February 1, 2014, the first anniversary of the grant date. 6.25% vests every three months thereafter.

F2: Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% vested on September 26, 2014, the first anniversary of the grant date. 6.25% vests every three months thereafter.

F3: Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% vested on September 26, 2015, the first anniversary of the grant date. 6.25% vests every three months thereafter.

F4: Represents options granted pursuant to the 2007 Omnibus Incentive Plan. 25% will vest on October 1, 2016, the first anniversary of the grant date. 6.25% vests every three months thereafter.

F5: Represents restricted stock units granted on October 1, 2015 pursuant to the 2007 Omnibus Incentive Plan. 100% will vest on October 1, 2016, the first anniversary of the grant date.

F6: Each restricted stock unit is the economic equivalent of one share of NovaBay Pharmaceuticals, Inc. common stock.