SEC Form 4 · accession 0000899243-16-034609
PALVELLA THERAPEUTICS, INC. · PVLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Claude Knopf
Officer — Chief Business Officer
Period of report
Nov 28, 2016
Accepted (ET)
Nov 30, 2016 · 8:24 pm EST
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 | $1.45 | Nov 28, 2016 | A | 500,000 | A | — | Nov 28, 2026 | Common Stock | 500,000 | 500,000 | D |
Explanation of responses
- F1The option vests as to 25% of the option shares on November 28, 2017 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter until November 28, 2020.