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Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 ( Mark One ) ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 FORM 10 - K TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from OR Delaware ( State or other jurisdiction of incorporation or organization ) Commission file number 001-33678 Large accelerated filer Non - accelerated filer NOVABAY PHARMACEUTICALS , INC . ( Exact name of registrant as specified in its charter ) 风口 2000 Powell Street , Suite 1150 , Emeryville , California 94608 ( Address of principal executive offices ) ( Zip Code ) Registrant's Telephone Number , Including Area Code : ( 510 ) 899-8800 Securities Registered Pursuant to Section 12 ( b ) of the Act : Trading Symbol ( s ) . NBY to Title of Each Class Common Stock , par value $ 0.01 per share Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or 15 ( d ) of the Exchange Act . Yes No X ( I.R.S. Employer Identification No. ) 68-0454536 Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Accelerated filer Smaller reporting company Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See the definitions of “ large accelerated filer , ” “ accelerated filer , ” “ smaller reporting company " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . ( Check one ) : Emerging growth company Name of Each Exchange On Which Registered NYSE American | □ X