Palvella Therapeutics (NASDAQ: PVLA) holder plans 4,302-share stock sale

Rhea-AI Filing Summary

Palvella Therapeutics Inc. indicates that Kathleen Goin plans to sell 4,302 shares of common stock through Piper Sandler & Co. on 07/15/2026, with an aggregate market value of $643,923.36. Shares outstanding are listed as 14,342,844, and the shares trade on Nasdaq.

The shares to be sold were acquired via a stock option exercise for cash. Goin also sold 4,302 shares on each of 04/15/2026, 05/20/2026, and 06/17/2026, for aggregate prices of $547,398.96, $475,630.84, and $476,372.94, respectively.

Key Figures

Shares proposed for sale: 4,302 shares Aggregate market value of proposed sale: $643,923.36 Shares outstanding: 14,342,844 shares +3 more

6 metrics

Shares proposed for sale 4,302 shares Common stock to be sold through Piper Sandler & Co. on 07/15/2026

Aggregate market value of proposed sale $643,923.36 Aggregate market value for 4,302 shares of common stock to be sold

Shares outstanding 14,342,844 shares Common shares outstanding as referenced in connection with the sale

Sale proceeds 04/15/2026 $547,398.96 Aggregate price for 4,302 Palvella common shares sold on 04/15/2026

Sale proceeds 05/20/2026 $475,630.84 Aggregate price for 4,302 Palvella common shares sold on 05/20/2026

Sale proceeds 06/17/2026 $476,372.94 Aggregate price for 4,302 Palvella common shares sold on 06/17/2026

Key Terms

Stock Option Exercise, Securities To Be Sold, Nasdaq

3 terms

Stock Option Exercise financial

"Common Stock | 07/15/2026 | 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.

Securities To Be Sold regulatory

"144: Securities To Be Sold Common Stock | 07/15/2026"

Nasdaq financial

"14342844 | 07/15/2026 | 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.

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Available on EDGAR 07/15/2026 - 04:20 PM Accepted by SEC EDGAR 07/15/2026 - 04:20 PM Learn about SEC filing dates

FAQ

What sale of Palvella Therapeutics (PVLA) shares is disclosed?

A planned sale of 4,302 shares of Palvella Therapeutics common stock is disclosed, to be executed through Piper Sandler & Co. on 07/15/2026 with an aggregate market value of $643,923.36 and 14,342,844 shares outstanding.

How were the Palvella Therapeutics (PVLA) shares being sold acquired?

The 4,302 Palvella Therapeutics shares were acquired via a stock option exercise for cash. The disclosure links the proposed sale on 07/15/2026 directly to this stock option exercise, identifying the issuer as the source of the acquired shares.

Which broker is handling the proposed Palvella Therapeutics (PVLA) share sale?

The proposed sale of 4,302 PVLA shares will be handled by Piper Sandler & Co., located at 350 N 5th St, Suite 1000, Minneapolis, MN 55401. The common stock is listed for trading on the Nasdaq market.

How many Palvella Therapeutics (PVLA) shares are reported outstanding?

The notice references 14,342,844 shares of Palvella Therapeutics common stock outstanding. This figure serves as the outstanding share count in connection with the proposed 4,302-share sale and provides context for the size of the transaction.

What Palvella Therapeutics (PVLA) share sales occurred in the prior three months?

Three prior sales by Kathleen Goin are listed: 4,302 shares on 04/15/2026 for $547,398.96, 4,302 shares on 05/20/2026 for $475,630.84, and 4,302 shares on 06/17/2026 for $476,372.94, all in Palvella common stock.

On which exchange are Palvella Therapeutics (PVLA) shares related to this sale traded?

The common stock associated with the proposed 4,302-share sale is traded on the Nasdaq market. The disclosure identifies Nasdaq as the exchange for Palvella Therapeutics common stock listed in the sale information section.

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	643923.36	14342844	07/15/2026	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	07/15/2026	Stock Option Exercise	Issuer			4302	07/15/2026	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	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
Kathleen Goin C/O Palvella Therapeutics Inc 353 W Lancaster Ave Ste 200 Wayne PA 19087	Common Stock	06/17/2026	4302	476372.94

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)