Palvella Therapeutics (NASDAQ: PVLA) officer plans $647K share sale

Rhea-AI Filing Summary

PALVELLA THERAPEUTICS, INC. (symbol PVLA) received a Rule 144 notice indicating that officer Kathleen Goin, through broker Piper Sandler & Co., intends to sell 4,302 shares of common stock, with an aggregate market value of $647,106.84, around 08/19/2026 on Nasdaq. Shares outstanding are reported as 14,408,407. Over the prior three months, Goin reported three separate sales of 4,302 shares each, with aggregate prices of $475,630.84, $476,372.94, and $642,191.37.

Key Figures

Shares proposed to be sold: 4,302 shares Aggregate market value of proposed sale: $647,106.84 Shares outstanding: 14,408,407 shares +4 more

7 metrics

Shares proposed to be sold 4,302 shares Rule 144 notice for common stock sale by Kathleen Goin

Aggregate market value of proposed sale $647,106.84 Estimated value of 4,302 shares to be sold

Shares outstanding 14,408,407 shares PVLA common stock outstanding as reported in the notice

Proposed sale date 08/19/2026 Approximate date of sale on Nasdaq

Past sale 1 aggregate price $475,630.84 4,302-share sale on 05/20/2026

Past sale 2 aggregate price $476,372.94 4,302-share sale on 06/17/2026

Past sale 3 aggregate price $642,191.37 4,302-share sale on 07/15/2026

Key Terms

Rule 144, Stock Option Exercise, aggregate market value, Nasdaq

4 terms

Rule 144 regulatory

"See the definition of "person" in paragraph (a) of Rule 144."

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Stock Option Exercise financial

"Common Stock | 08/19/2026 | 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.

aggregate market value financial

"Common Stock | Piper Sandler & Co Inc ... | 4302 | 647106.84"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

Nasdaq market

"144: Securities Information ... 08/19/2026 | Nasdaq"

The Nasdaq is a stock exchange where many companies' shares are bought and sold, functioning much like a marketplace for investments. It matters to investors because it provides a platform to buy and sell ownership stakes in companies, helping them track the value of those companies and make informed decisions. As one of the largest and most technology-focused markets, it also reflects trends and developments in the business world.

FAQ

What does the Form 144 filing for PALVELLA THERAPEUTICS (PVLA) by Kathleen Goin disclose?

The filing reports a proposed Rule 144 sale of 4,302 PVLA shares of common stock by officer Kathleen Goin through Piper Sandler. It also lists prior three-month sales and states total shares outstanding of 14,408,407.

How many PVLA shares does Kathleen Goin plan to sell under this Form 144 notice?

Kathleen Goin plans to sell 4,302 shares of PALVELLA THERAPEUTICS (PVLA) common stock. The notice shows an aggregate market value of $647,106.84 for this proposed sale, expected around 08/19/2026 on Nasdaq.

What prior PVLA stock sales by Kathleen Goin are reported in the last three months?

The notice lists three prior PVLA sales of 4,302 shares each on 05/20/2026, 06/17/2026, and 07/15/2026, with aggregate prices of $475,630.84, $476,372.94, and $642,191.37, respectively.

What aggregate market value is associated with the proposed PVLA share sale in this Form 144?

The proposed sale of 4,302 PVLA shares has an aggregate market value of $647,106.84. This figure reflects the total market value of the securities covered by the Rule 144 notice filed for PALVELLA THERAPEUTICS, INC.

How many PALVELLA THERAPEUTICS (PVLA) shares are reported outstanding in the Form 144 filing?

The Form 144 reports 14,408,407 shares of PALVELLA THERAPEUTICS (PVLA) common stock outstanding. This outstanding-share figure provides context for the size of the 4,302-share proposed Rule 144 sale by Kathleen Goin.

What is the reported method of acquisition for the PVLA shares being sold by Kathleen Goin?

The shares to be sold were acquired via a Stock Option Exercise from the issuer, PALVELLA THERAPEUTICS, INC. The notice identifies the consideration as cash and ties the acquisition and proposed sale timing to 08/19/2026.

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

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Available on EDGAR 08/19/2026 - 04:57 PM Accepted by SEC EDGAR 08/19/2026 - 04:56 PM 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	647106.84	14408407	08/19/2026	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	08/19/2026	Stock Option Exercise	Issuer			4302	08/19/2026	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	05/20/2026	4302	475630.84
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave Ste 200 Wayne PA 19087	Common Stock	06/17/2026	4302	476372.94
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave, Ste 200 Wayne PA 19087	Common Stock	07/15/2026	4302	642191.37

144: Remarks and Signature

Remarks
Date of Notice	08/19/2026
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	Will Britton, 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)