PVLA Form 144: Proposed sale tied to option exercise

Palvella Therapeutics (PVLA) submitted a Form 144 notice reporting proposed sales of Common Stock tied to a stock option exercise with an intended sale date of 04/15/2026.

Rhea-AI Filing Summary

Palvella Therapeutics (PVLA) submitted a Form 144 notice reporting proposed sales of Common Stock tied to a stock option exercise with an intended sale date of 04/15/2026. The filing lists recent open-market disposals in the prior three months of $419,983.18, $341,563.74, and $507,611.05, and identifies Piper Sandler & Co. as the broker.

Key Figures

Form type: Form 144 Intended sale date: 04/15/2026 Recent disposition 1: $419,983.18 +3 more

6 metrics

Form type Form 144 Notice of proposed sale of securities

Intended sale date 04/15/2026 Securities to be sold (stock option exercise)

Recent disposition 1 $419,983.18 Sale on 01/21/2026 reported in filing

Recent disposition 2 $341,563.74 Sale on 02/18/2026 reported in filing

Recent disposition 3 $507,611.05 Sale on 03/18/2026 reported in filing

Broker Piper Sandler & Co. Listed as broker for the proposed sale

Key Terms

Form 144, Stock Option Exercise, Broker

3 terms

Form 144 regulatory

"submitted a <b>Form 144</b> notice reporting proposed sales"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Stock Option Exercise financial

"Securities To Be Sold 04/15/2026 Stock Option Exercise Issuer"

A stock option exercise is the act of using a previously granted right to buy shares of a company's stock at a specific, predetermined price by paying that price and receiving the shares. It matters to investors because exercising changes who owns the shares (which can dilute existing ownership), can trigger taxable events and shift potential gains or losses, and affects voting power and the company’s outstanding share count—like turning a voucher into an actual product that becomes part of circulating supply.

Broker market

"Piper Sandler &amp; Co Inc 350 N 5th St Ste 1000 Minneapolis"

A broker is a licensed professional or firm that helps investors buy and sell financial assets by executing trades on their behalf, acting like a marketplace agent or matchmaker between buyers and sellers. Brokers matter to investors because they provide access to markets, handle order execution and paperwork, and can offer research or advice—services that affect trade speed, costs, and the quality of investment decisions.

FAQ

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

What does PVLA's Form 144 filed on 04/15/2026 mean?

It notifies the SEC of a proposed sale of PVLA common stock by an affiliate. The filing lists a stock option exercise with an intended sale date of 04/15/2026 and broker information for execution.

How much stock was reported sold by PVLA affiliates in the past three months?

The filing lists three recent dispositions totaling specific dollar amounts. Those amounts are $419,983.18, $341,563.74, and $507,611.05 on the dates shown in the filing.

Who is the broker handling the PVLA sale noted in Form 144?

The broker identified is Piper Sandler & Co. with an address noted in Minneapolis. The filing ties broker details to the proposed sale method and date.

Is the PVLA Form 144 an indication of company-issued shares or insider sales?

Form 144 reports proposed resale by an affiliate following an option exercise; it reflects insider/affiliate disposition rather than a registered public offering. The filing ties the sale to an exercise event.

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

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Accepted by SEC EDGAR 04/15/2026 - 04:00 PM EDT Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001912570
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	PALVELLA THERAPEUTICS, INC.
SEC File Number	001-37471
Address of Issuer	353 W. LANCASTER AVENUE SUITE 200 WAYNE PENNSYLVANIA 19087
Phone	(484) 253-1461
Name of Person for Whose Account the Securities are To Be Sold	Goin Kathleen
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common Stock	Piper Sandler & Co Inc 350 N 5th St Ste 1000 Minneapolis MN 55401	4302	557238.06	14313659	04/15/2026	Nasdaq

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common Stock	04/15/2026	Stock Option Exercise	Issuer			4302	04/15/2026	Cash

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave Ste 200 Wayne PA 19087	Common Stock	01/21/2026	4302	419983.18
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave Ste 200 Wayne PA 19087	Common Stock	02/18/2026	4302	341563.74
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave Ste 200 Wayne PA 19087	Common Stock	03/18/2026	4302	507611.05

144: Remarks and Signature

Remarks
Date of Notice	04/15/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	08/19/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	Alex Johnson, a duly authorized representative of Piper Sandler & Co Corporate & Venture Services FA, as attorney-in-fact for Kathleen Goin
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)