SEC Form 4 · accession 0000899243-15-003512
PALVELLA THERAPEUTICS, INC. · PVLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis Matis
Officer — SVP, Chief Development Officer
Period of report
Aug 17, 2015
Accepted (ET)
Aug 18, 2015 · 8:08 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001583648
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common StockF1 | $3.36 | Aug 17, 2015 | A | 500,000 | A | — | Aug 17, 2025 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1The option vests as to 25% of the option shares on August 17, 2016 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter until August 17, 2019.