SDEV

SEC source: 0001398344-25-007146 · fp0093058-6_4.xml · nonDerivative · entry 1

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 881,496

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007144 · fp0093058-5_4.xml · nonDerivative · entry 6

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 868,204

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007144 · fp0093058-5_4.xml · nonDerivative · entry 5

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 845,569

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007144 · fp0093058-5_4.xml · nonDerivative · entry 4

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 845,469

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007144 · fp0093058-5_4.xml · nonDerivative · entry 3

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 839,097

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007144 · fp0093058-5_4.xml · nonDerivative · entry 2

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 833,777

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007144 · fp0093058-5_4.xml · nonDerivative · entry 1

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 832,277

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007141 · fp0093058-4_4.xml · nonDerivative · entry 6

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 818,277

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007141 · fp0093058-4_4.xml · nonDerivative · entry 5

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 808,277

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007141 · fp0093058-4_4.xml · nonDerivative · entry 4

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 782,766

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007141 · fp0093058-4_4.xml · nonDerivative · entry 3

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 782,732

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007141 · fp0093058-4_4.xml · nonDerivative · entry 2

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 770,895

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007141 · fp0093058-4_4.xml · nonDerivative · entry 1

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 768,747

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007139 · fp0093058-3_4.xml · nonDerivative · entry 6

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 754,102

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007139 · fp0093058-3_4.xml · nonDerivative · entry 5

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 754,000

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007139 · fp0093058-3_4.xml · nonDerivative · entry 4

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750,000

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007139 · fp0093058-3_4.xml · nonDerivative · entry 3

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 736,892

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007139 · fp0093058-3_4.xml · nonDerivative · entry 2

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 736,507

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007139 · fp0093058-3_4.xml · nonDerivative · entry 1

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 730,205

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007136 · fp0093058-2_4.xml · nonDerivative · entry 6

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 705,172

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007136 · fp0093058-2_4.xml · nonDerivative · entry 5

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 704,722

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007136 · fp0093058-2_4.xml · nonDerivative · entry 4

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 702,886

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007136 · fp0093058-2_4.xml · nonDerivative · entry 3

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 653,222

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007136 · fp0093058-2_4.xml · nonDerivative · entry 2

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 650,000

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007136 · fp0093058-2_4.xml · nonDerivative · entry 1

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 623,282

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007133 · fp0093058-1_4.xml · nonDerivative · entry 2

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 620,685

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001398344-25-007133 · fp0093058-1_4.xml · nonDerivative · entry 1

POPLAR POINT CAPITAL PARTNERS LP · CIK 0001588289 · 10% owner

POPLAR POINT CAPITAL MANAGEMENT LLC · CIK 0001588273 · 10% owner

POPLAR POINT CAPITAL GP LLC · CIK 0001588288 · 10% owner

FAKHRY JAD · CIK 0001588217 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 550,000

F1 · ownership.direct: This Form 4 is being jointly filed by Poplar Point Capital Partners LP ("PPCP"), Poplar Point Capital Management LLC ("PPCM"), Poplar Point Capital GP LLC ("PPCGP"), and Mr. Jad Fakhry (collectively with PPCP, PPCM and PPCGP, the "Reporting Persons") with respect to shares of common stock of the above named issuer owned by PPCP. PPCM is the investment manager of PPCP. PPCGP is the general partner of PPCP. Mr. Fakhry is the manager of PPCM and PPCGP, and owns a controlling interest in, PPCM and PPCGP. The filing of this statement shall not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement other than the securities actually owned by such person (if any).

SEC source: 0001437749-24-018801 · rdgdoc.xml · derivative · entry 1

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

SEC source: 0001437749-24-018798 · rdgdoc.xml · derivative · entry 1

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

SEC source: 0001437749-24-018802 · rdgdoc.xml · derivative · entry 1

Garlikov Julie · CIK 0001793266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

SEC source: 0001437749-24-018800 · rdgdoc.xml · derivative · entry 1

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

SEC source: 0001437749-24-018799 · rdgdoc.xml · derivative · entry 1

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

SEC source: 0001437749-24-018797 · rdgdoc.xml · derivative · entry 1

Zheng Yongxiang · CIK 0001910375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant. The number of restricted stock units and related contingent right to receive common stock does not give effect to the 1-for-35 reverse stock split the issuer effected on May 30, 2024.

SEC source: 0001437749-23-017291 · rdgdoc.xml · derivative · entry 1

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

Underlying: Common Stock · 858 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-23-017289 · rdgdoc.xml · derivative · entry 1

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

Underlying: Common Stock · 858 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-23-017290 · rdgdoc.xml · derivative · entry 1

Garlikov Julie · CIK 0001793266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

Underlying: Common Stock · 858 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-23-017288 · rdgdoc.xml · derivative · entry 1

Zheng Yongxiang · CIK 0001910375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

Underlying: Common Stock · 858 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-23-017287 · rdgdoc.xml · derivative · entry 1

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

Underlying: Common Stock · 858 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-23-017286 · rdgdoc.xml · derivative · entry 1

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

Underlying: Common Stock · 858 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on the one year anniversary of the date of grant.

SEC source: 0001437749-23-014705 · rdgdoc.xml · derivative · entry 3

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.underlying_shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014705 · rdgdoc.xml · nonDerivative · entry 1

Freiman Paul E. · CIK 0001410074 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,716

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · balance_after: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014704 · rdgdoc.xml · derivative · entry 2

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.underlying_shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014704 · rdgdoc.xml · nonDerivative · entry 1

Zheng Yenyou · CIK 0001330748 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,716

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · balance_after: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014703 · rdgdoc.xml · derivative · entry 2

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.underlying_shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014703 · rdgdoc.xml · nonDerivative · entry 1

WU MIJIA · CIK 0001664299 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,716

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · balance_after: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014702 · rdgdoc.xml · derivative · entry 2

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.underlying_shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014702 · rdgdoc.xml · nonDerivative · entry 1

Sit Swan · CIK 0001801128 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,716

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · balance_after: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014701 · rdgdoc.xml · derivative · entry 2

Garlikov Julie · CIK 0001793266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.underlying_shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014701 · rdgdoc.xml · nonDerivative · entry 1

Garlikov Julie · CIK 0001793266 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 858

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · balance_after: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

SEC source: 0001437749-23-014700 · rdgdoc.xml · derivative · entry 2

Zheng Yongxiang · CIK 0001910375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 858 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.

F2 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F2 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vested on the one year anniversary of the date of grant.

F1 · derivative.underlying_shares: On November 15, 2022, NovaBay Pharmaceuticals, Inc. effected a 1-for-35 reverse stock split of its common stock, which is reflected in the number of shares.