SEC Form 4 · accession 0001562180-18-004310
PALVELLA THERAPEUTICS, INC. · PVLA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Richman
Director
Period of report
Oct 25, 2018
Accepted (ET)
Oct 29, 2018 · 5:11 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 Option (right to buy)F1 | $4.36 | Oct 25, 2018 | A | 3,829 | A | Oct 25, 2018 | Oct 25, 2028 | Common Stock | 3,829 | 3,829 | D |
Explanation of responses
- F1The stock option was issued to the Reporting Person, who elected to take stock options in lieu of $10,937.50 in cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation policy.