NovaBay (NBY) regains NYSE American compliance; $6.0M equity met

NovaBay Pharmaceuticals reported it has regained compliance with NYSE American continued listing standards.

Rhea-AI Filing Summary

NovaBay Pharmaceuticals reported it has regained compliance with NYSE American continued listing standards. The company met Section 1003(a)’s requirement to maintain stockholders’ equity of at least $6.0 million, and is otherwise in compliance with NYSE American rules.

The update follows NYSE American’s acceptance of NovaBay’s compliance plan in June 2024. A press release announcing the return to compliance was issued on October 20, 2025 and furnished as Exhibit 99.1.

Insights

Equity Markets & Listings Analyst

Compliance restored; exchange listing stability improves.

NovaBay states it now meets NYSE American Section 1003(a), which requires stockholders’ equity of at least $6.0 million. This indicates the company satisfied exchange financial criteria that were previously under review.

Maintaining an exchange listing supports trading liquidity and index visibility, though the filing does not quantify operational changes. The company also notes it is otherwise in compliance with NYSE American rules.

The press release dated October 20, 2025 confirms the status change. Any further details on equity levels or drivers would come from subsequent disclosures.

8-K Event Classification

2 items: 8.01, 9.01

2 items

Item 8.01 Other Events Other

Voluntary disclosure of events the company deems important to shareholders but not covered by other items.

Item 9.01 Financial Statements and Exhibits Exhibits

Financial statements, pro forma financial information, or exhibit attachments filed with this report.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did NovaBay (NBY) announce in its 8-K?

NovaBay said it has regained compliance with NYSE American continued listing standards and now meets the stockholders’ equity requirement.

Which NYSE American rule did NBY meet?

Section 1003(a) of the NYSE American Company Guide, requiring stockholders’ equity of at least $6.0 million.

What is the equity threshold referenced for NBY?

A stockholders’ equity requirement of at least $6.0 million.

Is NovaBay otherwise in compliance with NYSE American rules?

Yes. The company states it is otherwise in compliance with NYSE American listing rules.

Where can I read NovaBay’s detailed announcement?

See the press release furnished as Exhibit 99.1, dated October 20, 2025.

What is NovaBay’s trading symbol and exchange?

NovaBay trades on the NYSE American under the symbol NBY.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 10/21/2025 - 07:00 AM EDT Learn about SEC filing dates

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 20, 2025

NovaBay Pharmaceuticals, Inc.

(Exact name of registrant as specified in its charter)

Delaware		001-33678		68-0454536
(State or other jurisdiction of incorporation)		(Commission File Number)		(IRS Employer Identification No.)

2000 Powell Street, Suite 1150, Emeryville, CA 94608

(Address of principal executive offices and zip code)

(510) 899-8800

(Registrant’s telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class		Trading Symbol(s)		Name of each exchange on which registered
Common Stock, par value $0.01 per share		NBY		NYSE American

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter). Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 8.01. Other Information.

On October 20, 2025, NovaBay Pharmaceuticals, Inc. (the “Company”) issued a press release that it has regained compliance with the continued listing standards of the NYSE American LLC (“NYSE American”). As previously disclosed, on June 4, 2024, NYSE American accepted the Company’s plan to regain compliance with Section 1003(a) of the NYSE American Company Guide, which required the Company to have stockholders’ equity of at least $6.0 million. The Company has now met this stockholders’ equity requirement and is otherwise in compliance with the listing rules of the NYSE American.

A copy of the press release announcing the Company’s return to compliance is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits

Exhibit No.		Description
99.1		Press Release, dated October 20, 2025.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

Date: October 21, 2025	NovaBay Pharmaceuticals, Inc.
	By:	/s/ Tommy Law
		Name:	Tommy Law
		Title:	Chief Financial Officer

2