SEC Form 4 · accession 0000899243-17-006558
PALVELLA THERAPEUTICS, INC. · PVLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Louis Matis
Officer — See Remarks
Period of report
Feb 23, 2017
Accepted (ET)
Mar 6, 2017 · 6:50 am 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock option (Right to buy)F1 | $1.99 | Feb 23, 2017 | A | 145,000 | A | — | Feb 23, 2027 | Common Stock | 145,000 | 145,000 | D |
Explanation of responses
- F1The option vests as to 25% of the option shares on January 1, 2018 and vests as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.
Remarks
SVP, Chief Development Officer