Palvella Therapeutics (PVLA) files Form 144 showing $476K option‑linked sale

Rhea-AI Filing Summary

Palvella Therapeutics submitted a Form 144 notice indicating proposed sale activity in its Common Stock via a stock option exercise on 06/17/2026. The filing lists a transaction value of $476,372.94 and references Nasdaq as the market.

The excerpt also shows three prior reported sales by Kathleen Goin during the past three months with values of $507,611.05, $547,398.96 and $475,630.84. The filing identifies the broker address for Piper Sandler & Co.

Insights

Securities Compliance Counsel

Routine Form 144 notice of proposed resale tied to option exercise; prior-month sales recorded.

The filing lists a stock option exercise method and an amount entry of $476,372.94 with an effective date of 06/17/2026. Form 144 is a regulatory notice for proposed sales by affiliates or restricted holders and does not itself complete a sale.

Cash treatment is specified as Cash and the excerpt names Piper Sandler & Co. as the broker. Subsequent filings or transactional reports would show whether the proposed sale was executed.

Key Figures

Listed transaction value: $476,372.94 Prior sale value (03/18/2026): $507,611.05 Prior sale value (04/15/2026): $547,398.96 +3 more

6 metrics

Listed transaction value $476,372.94 Entry associated with a stock option exercise dated 06/17/2026

Prior sale value (03/18/2026) $507,611.05 Sale by Kathleen Goin reported in the past three months

Prior sale value (04/15/2026) $547,398.96 Sale by Kathleen Goin reported in the past three months

Prior sale value (05/20/2026) $475,630.84 Sale by Kathleen Goin reported in the past three months

Broker identifier/address Piper Sandler & Co, 350 N 5th St Ste 1000 Broker listed in the filing excerpt

Numeric entry 14,342,844 Numeric field present in the excerpt (associated column value)

Key Terms

Form 144, Stock Option Exercise, Cash, Broker

4 terms

Form 144 regulatory

"144: Securities To Be Sold Common Stock | 06/17/2026 | Stock Option Exercise"

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 Common Stock | 06/17/2026 | Stock Option Exercise"

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.

Cash financial

"4302 | 06/17/2026 | Cash"

Broker market

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

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.

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

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Available on EDGAR 06/17/2026 - 05:12 PM Accepted by SEC EDGAR 06/17/2026 - 05:11 PM Learn about SEC filing dates

FAQ

What does Palvella Therapeutics' Form 144 on 06/17/2026 disclose?

It discloses a proposed sale tied to a stock option exercise dated 06/17/2026, showing an entry of $476,372.94 and listing Nasdaq as the market.

Who is the selling party referenced in the Form 144 for PVLA?

The excerpt identifies Kathleen Goin in prior sales rows; the current notice lists the issuer-level exercise and a broker address for Piper Sandler & Co. as intermediary.

Does the Form 144 confirm the sale was completed?

No. Form 144 is a notice of a proposed sale; the filing itself does not confirm execution. Execution status must be verified in subsequent transaction reports.

What prior sales are shown in the filing excerpt for the past three months?

The excerpt lists three prior sales by Kathleen Goin dated 03/18/2026, 04/15/2026, and 05/20/2026 with values of $507,611.05, $547,398.96, and $475,630.84 respectively.

What trading method and cash treatment are indicated in the notice?

The filing lists the method as Stock Option Exercise and specifies the cash treatment as Cash for the proposed transaction dated 06/17/2026.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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	476372.94	14342844	06/17/2026	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	06/17/2026	Stock Option Exercise	Issuer			4302	06/17/2026	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	03/18/2026	4302	507611.05
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave Ste 200 Wayne PA 19087	Common Stock	04/15/2026	4302	547398.96
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave, Ste 200 Wayne PA 19087	Common Stock	05/20/2026	4302	475630.84

144: Remarks and Signature

Remarks

Date of Notice

Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)