PALVELLA THERAPEUTICS, INC. SEC Filing

Palvella Therapeutics insider plans another Rule 144 stock sale.

Accepted by SEC EDGAR 01/21/2026 - 04:33 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Palvella Therapeutics insider plans another Rule 144 stock sale. A person filing through Piper Sandler & Co. intends to sell 4,302 shares of Palvella Therapeutics common stock on or about 01/21/2026 on the Nasdaq market, with an aggregate market value of 421,639.02 reported for this planned sale. The shares are being acquired the same day via a stock option exercise from the issuer, paid in cash, and then sold.

The filing also notes that the same seller, identified as Kathleen Goin c/o Palvella Therapeutics, previously sold 4,302 shares of common stock on 11/19/2025 for gross proceeds of 370,750.23 and another 4,302 shares on 12/17/2025 for gross proceeds of 415,022.54. The notice includes a representation that the seller is not aware of any undisclosed material adverse information about Palvella Therapeutics’ current or prospective operations.

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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	421639.02	11836490	01/21/2026	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	01/21/2026	Stock Option Exercise	Issuer			4302	01/21/2026	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 AVENUE STE 200 WAYNE PA 19087	Common Stock	11/19/2025	4302	370750.23
Kathleen Goin C/O Palvella Therapeutics Inc 353 W. LANCASTER AVENUE STE 200 WAYNE PA 19087	Common Stock	12/17/2025	4302	415022.54

144: Remarks and Signature

Remarks
Date of Notice	01/21/2026
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)