SecProbe.io

Filing text and metadata
Intelligence Terminal Search Probe Scores Topics IPO Watchlist Monthly Activity About API

SEC Comment Letter for NovaBay Pharmaceuticals, Inc. (NBY) (CIK 0001389545) (SDEV) — Apr 6, 2015

NovaBay Pharmaceuticals, Inc. (NBY) (CIK 0001389545)
Date: April 6, 2015 · CIK: 0001389545 · Accession: 0000000000-15-019765

AI Filing Summary & Sentiment

Sentiment
Urgency
Document Type
Confidence
SEC Posture
Company Posture

Summary

Reasoning

File numbers found in text: 333-203112

Date
March 31, 2015
Author
/s/ Daniel Greenspan for
Form
UPLOAD
Company
NovaBay Pharmaceuticals, Inc. (NBY) (CIK 0001389545)

Letter

April 6 , 2015 Via E -mail Ramin Najafi, Ph.D. Chief Executive Officer NovaBay Pharmaceuticals, Inc. 5980 Horton Street, Suite 550 Emeryville, CA 94608

Re: NovaBay Pharmaceuticals, Inc. Registration Statement on Form S-3 Filed March 31, 2015 File No. 333-203112

Dear Dr. Najafi :

We have limited our review of your registration statement to those issues w e have addressed in our comment .

Please respond to this letter by amending your registration statement and providing the requested information . If you do not believe our comment applies to your facts and circumstances or do not believe an amendment is appropriate, please tell us why in y our response.

After reviewing any amendment to your registration statement and the information you provide in response to this comment , we may have additional comments.

General

1. We note that that you have a pending co nfidential treatment request. Please be advised that we will not be in a position to accelerate the effectiveness of your registration statement until we have completed processing your confidential treatment request .

We urge all persons who are responsible for the accuracy and adequacy of the disclosure in the filing to be certain that the filing includes the information the Securities Act of 193 3 and all applicable Securities Act rules require. Since the company and its management are in possession of all facts relating to a company’s disclosure, they are re sponsible for the accuracy and adequacy of the disclosures they have made.

Notwithstanding our comments, in the event you request acceleration of the effective date of the pending registration statement , please provide a written statement from the compa ny acknowledging that:

Ramin Najafi, Ph.D. NovaBay Pharmaceuticals, Inc. April 6 , 2015 Page 2

 should the Commission or the staff, acting pursuant to delegated authority, declare the filing effective, it does not foreclose the Commission from taking any action with respect to the filing;

 the action of the Commission or the staff, acting pursuant to delegated authority, in declaring the filing effective, does not relieve the company from its full responsibility for the adequacy and accuracy of the disclosure in the filing; and

 the company may not assert staff comments and the declaration of effectiveness as a defense in any proceeding initiated by the Commission or any person under the federal securities laws of the United States.

Please refer to Rules 460 and 461 regarding requests for acceleration . We will consider a written request for acceleration of the effective date of the registration statement as confirmation of the fact that those requesting acceleration are aware of their respective responsibilities under the Securities Act of 1933 and the Securities Exchange Act of 1934 as they relate to the proposed public offering of the securities specified in the above registration statement. Please allow adequate time for us to review any amendment prior to the requested effective date of the registration statement.

Please contact Matthew Jones at (202) 551 -3786 or me at (202) 551 -3715 with any other questions.

Sincerely,
/s/ Daniel Greenspan for

Show Raw Text
April 6 , 2015

Via E -mail
Ramin Najafi, Ph.D.
Chief Executive Officer
NovaBay Pharmaceuticals, Inc.
5980 Horton Street, Suite 550
Emeryville, CA 94608

Re: NovaBay  Pharmaceuticals, Inc.
  Registration Statement on Form S-3
Filed  March 31, 2015
  File No.  333-203112

Dear Dr. Najafi :

We have limited our review of your registration statement to those issues w e have
addressed in our comment .

Please respond to this letter by amending your registration statement and providing the
requested information .  If you do not believe our comment applies  to your facts and
circumstances or do not believe an amendment is appropriate, please tell us why in y our
response.

After reviewing any amendment to your registration statement and the information you
provide in response to this comment , we may have  additional comments.

General

1. We note that that you have a pending co nfidential treatment request.  Please be advised
that we will not be in a position to accelerate the effectiveness of your registration
statement until we have completed processing your confidential treatment request .

We urge all persons who are responsible for the accuracy and adequacy of the disclosure
in the filing to be certain that the filing includes the information the Securities Act of 193 3 and
all applicable Securities  Act rules require.   Since the company and its management are in
possession of all facts relating to a company’s disclosure, they are re sponsible for the accuracy
and adequacy of the disclosures they have made.

Notwithstanding our comments, in the event you request acceleration of the effective date
of the pending registration statement , please provide a written statement from the compa ny
acknowledging that:

Ramin Najafi, Ph.D.
NovaBay Pharmaceuticals, Inc.
April 6 , 2015
Page 2

  should the Commission or the staff, acting pursuant to delegated authority, declare the
filing effective, it does not foreclose the Commission from taking any action with respect
to the filing;

 the action of the Commission or the staff, acting pursuant to delegated authority, in
declaring the filing effective, does not relieve the company from its full responsibility for
the adequacy and accuracy of the disclosure in the filing; and

 the company  may not assert staff comments and the declaration of effectiveness as a
defense in any proceeding initiated by the Commission or any person under the federal
securities laws of the United States.

Please refer to Rules 460 and 461 regarding requests for  acceleration .  We will consider a
written request for acceleration of the effective date of the registration statement as confirmation
of the fact that those requesting acceleration are aware of their respective responsibilities under
the Securities Act of 1933 and the Securities Exchange Act of 1934 as they relate to the proposed
public offering of the securities specified in the above registration statement.  Please allow
adequate time  for us to review any amendment prior to the requested effective date of  the
registration statement.

Please contact Matthew Jones  at (202) 551 -3786  or me at (202) 551 -3715  with any other
questions.

Sincerely,

 /s/ Daniel Greenspan for

Jeffrey P. Riedler
Assistant Director

cc: Brett D. White, Esq.
Cooley LLP
3175 Hanover Street
Palo Alto, CA 94304 -1130