Ownership Submission
FORM 3
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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(Print or Type Responses)
1. Name and Address of Reporting Person *
  Raleigh Jason Philip
2. Date of Event Requiring Statement (Month/Day/Year)
03/08/2019
3. Issuer Name and Ticker or Trading Symbol
NovaBay Pharmaceuticals, Inc. [NBY]
(Last)
(First)
(Middle)
2000 POWELL STREET, SUITE 1150
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
__X__ Officer (give title below) _____ Other (specify below)
Interim CFO and Treasurer
5. If Amendment, Date Original Filed(Month/Day/Year)
(Street)

EMERYVILLE, CA 94608
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock 0
D
 

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. SEC 1473 (7-02)
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(Month/Day/Year)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) (1) 06/06/2016 06/06/2026 Common Stock 12,000 $ 2.78 D  
Stock Option (right to buy) (1) 06/02/2017 06/02/2027 Common Stock 23,300 $ 2.35 D  
Stock Option (right to buy) (2) 06/02/2017 06/02/2027 Common Stock 1,755 $ 2.35 D  
Stock Option (right to buy) (1) 05/31/2018 05/31/2028 Common Stock 40,000 $ 2.2 D  

Reporting Owners

Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Raleigh Jason Philip
2000 POWELL STREET, SUITE 1150
EMERYVILLE, CA 94608
      Interim CFO and Treasurer  

Signatures

/s/ Jason Raleigh 03/26/2019
**Signature of Reporting Person Date

Explanation of Responses:

* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
(1) 25% vested or will vest on the first anniversary of the grant date. 6.25% will vest every three months thereafter.
(2) Granted 11,700 options which vested on January 31, 2018, in direct portion to the percentage achievement of the stated 2017 corporate goals, which the Board determined to be 15% (or 1,755 options).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, See Instruction 6 for procedure.

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