NovaBay Pharmaceuticals, Inc. — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| Fu Jian Ping | — | X | 126,985 | $3.15 | $400,003 | 3,983,304 | Oct 11, 2016 |
| SIECZKAREK MARK M | CEO | X | 273,447 | $1.91 | $522,284 | 988,945 | Sep 30, 2016 |
| WU MIJIA | — | X | 15,873 | $3.15 | $50,000 | 47,619 | Sep 30, 2016 |
| Fu Jian Ping | — | X | 968,587 | $1.91 | $1,850,001 | 3,856,319 | Sep 22, 2016 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | X | 1,308,902 | $1.91 | $2,500,003 | 5,188,421 | Sep 22, 2016 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | X | 181,300 | $1.81 | $328,153 | 3,879,519 | Sep 22, 2016 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | Award / Grant | 1,308,901 | $1.91 | $2,500,001 | 3,698,219 | Aug 1, 2016 |
| SIECZKAREK MARK M | CEO | Award / Grant | 261,780 | $1.91 | $500,000 | 715,498 | Aug 1, 2016 |
| Fu Jian Ping | — | Award / Grant | 1,937,173 | $1.91 | $3,700,000 | 2,887,732 | May 9, 2016 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | Award / Grant | 1,308,901 | $1.91 | $2,500,001 | 2,389,318 | May 9, 2016 |
| SIECZKAREK MARK M | — | Award / Grant | 261,780 | $1.91 | $500,000 | 453,718 | May 9, 2016 |
| SIECZKAREK MARK M | — | Award / Grant | 125,387 | $1.91 | $239,489 | 133,246 | Feb 25, 2016 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | Award / Grant | 696,590 | $1.91 | $1,330,487 | 1,104,742 | Feb 25, 2016 |
| PAULSON THOMAS J | CFO | Award / Grant | 50,000 | — | — | 142,196 | Oct 5, 2015 |
| Najafi Ramin | Chief Executive Officer | Purchase | 6,000 | $0.44 | $2,640 | 12,000 | Aug 19, 2015 |
| Hoon Russell A. | Senior Vice President | C | 4,515 | — | — | 34,217 | Apr 14, 2015 |
| WU ROY J | SVP Bus & Corp Development | Award / Grant | 19,296 | — | — | 19,296 | Mar 23, 2015 |
| PAULSON THOMAS J | CFO | Award / Grant | 23,986 | — | — | 92,196 | Mar 23, 2015 |
| Najafi Ramin | Chief Executive Officer | Award / Grant | 46,033 | — | — | 3,437,699 | Mar 23, 2015 |
| SIECZKAREK MARK M | — | Purchase | 166,666 | $0.60 | $100,000 | 196,466 | Mar 3, 2015 |
| Najafi Ramin | Chief Executive Officer | Purchase | 166,666 | $0.60 | $100,000 | 3,391,666 | Mar 3, 2015 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | Purchase | 2,590,000 | $0.60 | $1,554,000 | 9,595,656 | Mar 3, 2015 |
| Stroman David W. | SVP, Ophthalmic Product Devt. | Purchase | 10,000 | $0.66 | $6,600 | 23,000 | Dec 12, 2014 |
| PAULSON THOMAS J | CFO | Purchase | 10,000 | $0.68 | $6,800 | 68,210 | Dec 12, 2014 |
| Najafi Ramin | Chief Executive Officer | Purchase | 50,000 | $0.65 | $32,500 | — | Dec 12, 2014 |
| Najafi Ramin | Chief Executive Officer | Purchase | 20,000 | $0.60 | $12,000 | 3,175,000 | Dec 11, 2014 |
| PAULSON THOMAS J | CFO | Purchase | 10,000 | $0.67 | $6,700 | 58,210 | Dec 9, 2014 |
| Najafi Ramin | Chief Executive Officer | Purchase | 25,000 | $0.65 | $16,250 | 3,155,000 | Dec 5, 2014 |
| Najafi Ramin | Chief Executive Officer | Purchase | 18,000 | $0.71 | $12,780 | 3,130,000 | Dec 2, 2014 |
| Wicks Tony D.S. | — | Sale | 20,000 | $0.70 | $14,000 | — | Dec 2, 2014 |
| Wicks Tony D.S. | — | Sale | 10,000 | $0.69 | $6,900 | 213,680 | Dec 1, 2014 |
| SIECZKAREK MARK M | — | Purchase | 4,800 | $0.89 | $4,272 | 29,800 | Jun 4, 2014 |
| Najafi Ramin | Chief Executive Officer | Gift | 5,500 | — | — | 3,112,000 | Jun 2, 2014 |
| SIECZKAREK MARK M | — | Purchase | 25,000 | $0.88 | $22,000 | 25,000 | May 19, 2014 |
| China Pioneer Pharma Holdings Ltd | — | Purchase | 65,065 | $0.99 | $64,414 | 608,156 | May 13, 2014 |
| China Pioneer Pharma Holdings Ltd | — | Purchase | 116,107 | $0.99 | $114,946 | 543,091 | May 12, 2014 |
| China Pioneer Pharma Holdings Ltd | — | Purchase | 318,828 | $0.99 | $315,640 | 426,984 | May 9, 2014 |
| Wicks Tony D.S. | — | Option Exercise | 52,000 | $0.56 | $29,120 | 213,690 | Apr 14, 2014 |
| Dailley Anthony | — | Option Exercise | 9,000 | $0.56 | $5,040 | 285,259 | Mar 17, 2014 |
| China Pioneer Pharma Holdings Ltd | — | Purchase | 5,000,000 | $1.14 | $5,700,000 | 7,005,656 | Dec 2, 2013 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | Purchase | 5,000,000 | $1.14 | $5,700,000 | 7,005,656 | Dec 2, 2013 |
| Pioneer Pharma (Hong Kong) Co Ltd | — | Purchase | 5,000,000 | $1.14 | $5,700,000 | 7,005,656 | Dec 2, 2013 |
| Najafi Ramin | Chief Executive Officer | Tax Withholding | 4,557 | $1.75 | $7,975 | 100,195 | Oct 28, 2013 |
| PAULSON THOMAS J | CFO | Tax Withholding | 3,645 | $1.75 | $6,379 | 63,855 | Oct 28, 2013 |
| Li Xinzhou | — | Sale | 120,000 | $1.87 | $224,400 | — | Sep 20, 2013 |
| Pioneer Pharma (Hong Kong) Co Ltd | — | Other | 3,913 | — | — | 2,005,656 | Jul 22, 2013 |
| China Pioneer Pharma Holdings Ltd | — | Purchase | 108,156 | $1.02 | $110,319 | 108,156 | Jul 22, 2013 |
| Pioneer Pharma (Singapore) Pte. Ltd. | — | Other | 1,743 | — | — | 2,001,743 | Jul 22, 2013 |
| Li Xinzhou | — | Other | 1,743 | — | — | 2,001,743 | Apr 29, 2013 |
| Li Xinzhou | — | Purchase | 120,000 | $1.20 | $144,000 | 2,120,000 | Dec 11, 2012 |