SEC Form 4 · accession 0001562180-17-003339
PALVELLA THERAPEUTICS, INC. · PVLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Chau Quang Khuong
Director · 10% Owner
Period of report
Oct 25, 2017
Accepted (ET)
Oct 27, 2017 · 4:26 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (Right to buy)F1 | $4.68 | Oct 25, 2017 | A | 6,115 | A | Oct 25, 2017 | Oct 25, 2027 | Common Stock | 6,115 | 6,115 | D |
Explanation of responses
- F1The Reporting Person is an employee of OrbiMed Advisors LLC ("Advisors") and is obligated to transfer any shares issued under equity grants made to him by the Issuer, or the economic benefits thereof, to Advisors for the ultimate benefit of OrbiMed Private Investments III, LP and OrbiMed Associates III, LP.