Li Xinzhou 4
4 · NovaBay Pharmaceuticals, Inc. · Filed Jan 2, 2013
Insider Transaction Report
Form 4
Li Xinzhou
10% OwnerOther
Transactions
- Purchase
Common Stock
2012-09-13$1.25/sh+800,000$1,000,000→ 800,000 total(indirect: The shares are held by Pioneer Pharma (Singapore) Pte. Ltd., a 100% wholly owned subsidiary of Naqu) - Purchase
Warrant
2012-09-13$1.50/sh+800,000$1,200,000→ 800,000 total(indirect: The warrants are held by Pioneer Pharma (Singapore) Pte. Ltd., a 100% wholly owned subsidiary of Naq)Exercise: $1.50From: 2012-09-13Exp: 2013-08-31→ Common Stock (800,000 underlying)
Footnotes (3)
- [F1]The shares are held directly by Pioneer Pharma (Singapore) Pte. Ltd. who is a 100% wholly owned subsidiary of Naqu Area Pioneer Pharma, Co. Ltd. (NAQU) and Mr. Paul Li is the sole owner of the NAQU hence Mr. Paul Li may be deemed to beneficially own the warrants held by Pioneer Pharma (Singapore) Pte. Ltd.
- [F2]Warrant to purchase Common stock.
- [F3]The warrants are held directly by Pioneer Pharma (Singapore) Pte. Ltd. who is a 100% wholly owned subsidiary of Naqu Area Pioneer Pharma, Co. Ltd. (NAQU) and Mr. Paul Li is the sole owner of the NAQU hence Mr. Paul Li may be deemed to beneficially own the warrants held by Pioneer Pharma (Singapore) Pte. Ltd.