SEC Company Response from NovaBay Pharmaceuticals, Inc. (NBY) (CIK 0001389545) (SDEV) — Oct 22, 2007
NovaBay Pharmaceuticals, Inc. (NBY) (CIK 0001389545)
Date: Oct. 22, 2007 · CIK: 0001389545 · Accession: 0001193125-07-222935
AI Filing Summary & Sentiment
Reasoning
File numbers found in text: 333-140714
Letter
Securities and Exchange Commission Division of Corporate Finance Washington, D.C. 20549 Attn: Ms. Suzanne Hayes Re: NovaBay Pharmaceuticals, Inc. (the “Registrant”) Registration Statement on Form S-1 (File No. 333-140714)
Dear Ms. Hayes:
Pursuant to Rule 461 under the Securities Act of 1933, as amended (the “Securities Act”), we hereby join in the request of the Registrant that the effectiveness of the above-referenced Registration Statement on Form S-1, relating to the initial public offering, be accelerated so that it may become effective at 5:00 p.m. (Eastern time), on October 24, 2007, or as soon as practicable thereafter, and that such effective date and time be confirmed in writing, by notifying J.R. Kang of Dorsey & Whitney LLP, the Registrant’s counsel, at 949.932.3665.
Pursuant to Rule 460 under the Securities Act, we advise you that copies of the preliminary prospectus, dated September 4, 2007, relating to the above-referenced offering have been distributed as follows during the period of September 4, 2007 through the date hereof:
•
920 total copies distributed;
•
600 copies to prospective underwriters;
•
200 copies to institutional investors; and
•
120 copies to others.
We also wish to advise you that the underwriters have complied with and will continue to comply with the requirements regarding the distribution of preliminary prospectuses and final prospectuses set forth in Rule 15c2-8 under the Securities Exchange Act of 1934, as amended.
[Signature Page Follows]
Very truly yours,
DUNDEE SECURITIES CORPORATION
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CORRESP 1 filename1.htm Acceleration Request October 22, 2007 BY EDGAR Securities and Exchange Commission Division of Corporate Finance 100 F. Street, N.E. Washington, D.C. 20549 Attn: Ms. Suzanne Hayes Re: NovaBay Pharmaceuticals, Inc. (the “Registrant”) Registration Statement on Form S-1 (File No. 333-140714) Dear Ms. Hayes: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the “Securities Act”), we hereby join in the request of the Registrant that the effectiveness of the above-referenced Registration Statement on Form S-1, relating to the initial public offering, be accelerated so that it may become effective at 5:00 p.m. (Eastern time), on October 24, 2007, or as soon as practicable thereafter, and that such effective date and time be confirmed in writing, by notifying J.R. Kang of Dorsey & Whitney LLP, the Registrant’s counsel, at 949.932.3665. Pursuant to Rule 460 under the Securities Act, we advise you that copies of the preliminary prospectus, dated September 4, 2007, relating to the above-referenced offering have been distributed as follows during the period of September 4, 2007 through the date hereof: • 920 total copies distributed; • 600 copies to prospective underwriters; • 200 copies to institutional investors; and • 120 copies to others. We also wish to advise you that the underwriters have complied with and will continue to comply with the requirements regarding the distribution of preliminary prospectuses and final prospectuses set forth in Rule 15c2-8 under the Securities Exchange Act of 1934, as amended. [Signature Page Follows] Very truly yours, DUNDEE SECURITIES CORPORATION DESJARDINS SECURITIES INC. BLACKMONT CAPITAL INC. DAWSON JAMES SECURITIES, INC. By: DUNDEE SECURITIES CORPORATION As a representative of the underwriters DUNDEE SECURITIES CORPORATION By: /s/ Jolyon Burton Name: Jolyon Burton Title: Vice-President, Investment Banking