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Goin Kathleen

Disclosed activity across 1 company

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21165
SEC CIK
0001912570

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
PALVELLA THERAPEUTICS, INC.PVLA · Entity 4452Chief Operating OfficerSeptember 16, 2026September 18, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

PALVELLA THERAPEUTICS, INC.

Report date September 16, 2026 · Filed September 18, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Ending reported balance After 2026-09-16 transaction · row 5
5 source rows · reconciled sequence

Row 1 · 2026-09-16 · Exercise / conversion · Acquired 2,154 · Balance 2,154

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Row 2 · 2026-09-16 · Exercise / conversion · Acquired 2,148 · Balance 4,302

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Row 3 · 2026-09-16 · Sale · Disposed 1,659 · Balance 2,643

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $150.755 to $151.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Row 4 · 2026-09-16 · Sale · Disposed 989 · Balance 1,654

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $151.77 to $152.76, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Row 5 · 2026-09-16 · Sale · Disposed 1,654 · Balance 0

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $152.78 to $153.71, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.14 · Expires 2029-10-29Direct2,165 Reported balance After 2026-09-16 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2026-09-16 · Exercise / conversion · Disposed 2,154 · Balance 2,165

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F5: The stock option is fully vested.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.08 · Expires 2030-10-14Direct2,148 Reported balance After 2026-09-16 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2026-09-16 · Exercise / conversion · Disposed 2,148 · Balance 2,148

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F5: The stock option is fully vested.

Filing footnotes · ownership attribution and instrument terms

F1: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F2: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $150.755 to $151.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

F3: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $151.77 to $152.76, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

F4: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $152.78 to $153.71, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

F5: The stock option is fully vested.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
March 18, 2026 Filed Mar 20, 2026 20:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 1,730 $118.37 $204,776.81
Disclosure

SEC source: 0001104659-26-032695 · tm269404-1_4seq1.xml · nonDerivative · entry 4

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 304

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $118.00 to $118.81, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Read SEC document
March 18, 2026 Filed Mar 20, 2026 20:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 2,268 $117.56 $266,633.34
Disclosure

SEC source: 0001104659-26-032695 · tm269404-1_4seq1.xml · nonDerivative · entry 3

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,034

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $116.995 to $117.99, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Read SEC document
March 18, 2026 Filed Mar 20, 2026 20:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,148 $9.08 $19,503.84
Disclosure

SEC source: 0001104659-26-032695 · tm269404-1_4seq1.xml · nonDerivative · entry 2

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,302

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
March 18, 2026 Filed Mar 20, 2026 20:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,154 $7.14 $15,379.56
Disclosure

SEC source: 0001104659-26-032695 · tm269404-1_4seq1.xml · nonDerivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,154

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
February 18, 2026 Filed Feb 20, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,148 $0.00 Strike: $9.08 $0.00
Disclosure

SEC source: 0001104659-26-018136 · tm266892-1_4seq1.xml · derivative · entry 6

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,184

Underlying: Common Stock · 2,148 shares

Expires 2030-10-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F4 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
February 18, 2026 Filed Feb 20, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,154 $0.00 Strike: $7.14 $0.00
Disclosure

SEC source: 0001104659-26-018136 · tm266892-1_4seq1.xml · derivative · entry 5

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 17,243

Underlying: Common Stock · 2,154 shares

Expires 2029-10-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F4 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
February 18, 2026 Filed Feb 20, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 1,276 $79.97 $102,035.47
Disclosure

SEC source: 0001104659-26-018136 · tm266892-1_4seq1.xml · nonDerivative · entry 4

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $79.775 to $80.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Read SEC document
February 18, 2026 Filed Feb 20, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 3,026 $79.16 $239,528.78
Disclosure

SEC source: 0001104659-26-018136 · tm266892-1_4seq1.xml · nonDerivative · entry 3

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,276

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $78.75 to $79.70, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price at which the transactions were effected.

Read SEC document
February 18, 2026 Filed Feb 20, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,148 $9.08 $19,503.84
Disclosure

SEC source: 0001104659-26-018136 · tm266892-1_4seq1.xml · nonDerivative · entry 2

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,302

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
February 18, 2026 Filed Feb 20, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,154 $7.14 $15,379.56
Disclosure

SEC source: 0001104659-26-018136 · tm266892-1_4seq1.xml · nonDerivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,154

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
February 05, 2026 Filed Feb 9, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 GrantStock Option (Right to Buy) · Derivative 48,956 $0.00 Strike: $76.43 $0.00
Disclosure

SEC source: 0001104659-26-012060 · tm265512-1_4seq1.xml · derivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,956

Underlying: Common Stock · 48,956 shares

Expires 2036-02-05

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in equal monthly installments over 48 months commencing from February 5, 2026, subject to the Reporting Person's continuous service through each applicable vesting date.

Read SEC document
January 21, 2026 Filed Jan 23, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,148 $0.00 Strike: $9.08 $0.00
Disclosure

SEC source: 0001104659-26-006237 · tm263925-1_4seq1.xml · derivative · entry 6

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 19,332

Underlying: Common Stock · 2,148 shares

Expires 2030-10-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F2 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
January 21, 2026 Filed Jan 23, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,154 $0.00 Strike: $7.14 $0.00
Disclosure

SEC source: 0001104659-26-006237 · tm263925-1_4seq1.xml · derivative · entry 5

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 19,397

Underlying: Common Stock · 2,154 shares

Expires 2029-10-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F2 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
January 21, 2026 Filed Jan 23, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 3,749 $97.94 $367,177.06
Disclosure

SEC source: 0001104659-26-006237 · tm263925-1_4seq1.xml · nonDerivative · entry 4

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
January 21, 2026 Filed Jan 23, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 553 $95.49 $52,805.97
Disclosure

SEC source: 0001104659-26-006237 · tm263925-1_4seq1.xml · nonDerivative · entry 3

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 3,749

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
January 21, 2026 Filed Jan 23, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,148 $9.08 $19,503.84
Disclosure

SEC source: 0001104659-26-006237 · tm263925-1_4seq1.xml · nonDerivative · entry 2

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,302

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
January 21, 2026 Filed Jan 23, 2026 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,154 $7.14 $15,379.56
Disclosure

SEC source: 0001104659-26-006237 · tm263925-1_4seq1.xml · nonDerivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,154

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

Read SEC document
December 17, 2025 Filed Dec 19, 2025 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,148 $0.00 Strike: $9.08 $0.00
Disclosure

SEC source: 0001104659-25-123109 · tm2534005-1_4seq1.xml · derivative · entry 5

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 21,480

Underlying: Common Stock · 2,148 shares

Expires 2030-10-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F3 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
December 17, 2025 Filed Dec 19, 2025 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,154 $0.00 Strike: $7.14 $0.00
Disclosure

SEC source: 0001104659-25-123109 · tm2534005-1_4seq1.xml · derivative · entry 4

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 21,551

Underlying: Common Stock · 2,154 shares

Expires 2029-10-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F3 · derivative.exercise_date: The stock option is fully vested.

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December 17, 2025 Filed Dec 19, 2025 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 4,302 $96.47 $415,022.54
Disclosure

SEC source: 0001104659-25-123109 · tm2534005-1_4seq1.xml · nonDerivative · entry 3

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $96.34 to $96.82. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within the range set forth above.

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December 17, 2025 Filed Dec 19, 2025 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,148 $9.08 $19,503.84
Disclosure

SEC source: 0001104659-25-123109 · tm2534005-1_4seq1.xml · nonDerivative · entry 2

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,302

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

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December 17, 2025 Filed Dec 19, 2025 21:05 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,154 $7.14 $15,379.56
Disclosure

SEC source: 0001104659-25-123109 · tm2534005-1_4seq1.xml · nonDerivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,154

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025. The plan was adopted during an open trading window, at a time when the Reporting Person was not in possession of material non-public information and was reviewed and approved in accordance with the Issuer's Insider Trading Policy. The Issuer's officers and directors from time to time utilize trading plans to transact in its securities for reasons such as satisfying vesting-related income tax requirements, investment diversification, or other personal reasons.

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November 19, 2025 Filed Nov 21, 2025 21:25 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,148 $0.00 Strike: $9.08 $0.00
Disclosure

SEC source: 0001104659-25-115017 · tm2531981-1_4seq1.xml · derivative · entry 6

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,628

Underlying: Common Stock · 2,148 shares

Expires 2030-10-14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025.

F4 · derivative.exercise_date: The stock option is fully vested.

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November 19, 2025 Filed Nov 21, 2025 21:25 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionStock Option (Right to Buy) · Derivative 2,154 $0.00 Strike: $7.14 $0.00
Disclosure

SEC source: 0001104659-25-115017 · tm2531981-1_4seq1.xml · derivative · entry 5

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,705

Underlying: Common Stock · 2,154 shares

Expires 2029-10-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025.

F4 · derivative.exercise_date: The stock option is fully vested.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 21:25 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 2,802 $86.51 $242,387.85
Disclosure

SEC source: 0001104659-25-115017 · tm2531981-1_4seq1.xml · nonDerivative · entry 4

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $86.485 to $86.97. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within the range set forth above.

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November 19, 2025 Filed Nov 21, 2025 21:25 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 SaleCommon Stock 1,500 $85.72 $128,577.45
Disclosure

SEC source: 0001104659-25-115017 · tm2531981-1_4seq1.xml · nonDerivative · entry 3

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,802

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025.

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $85.475 to $86.08. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within the range set forth above.

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November 19, 2025 Filed Nov 21, 2025 21:25 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,148 $9.08 $19,503.84
Disclosure

SEC source: 0001104659-25-115017 · tm2531981-1_4seq1.xml · nonDerivative · entry 2

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 4,302

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025.

Read SEC document
November 19, 2025 Filed Nov 21, 2025 21:25 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 Exercise / conversionCommon Stock 2,154 $7.14 $15,379.56
Disclosure

SEC source: 0001104659-25-115017 · tm2531981-1_4seq1.xml · nonDerivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,154

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: The transactions reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan adopted on August 19, 2025.

Read SEC document
February 05, 2025 Filed Feb 10, 2025 22:40 UTC Amendment PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 GrantNon-Qualified Stock Option (right to buy) · Derivative 123,559 $0.00 Strike: $14.76 $0.00
Disclosure

SEC source: 0001583648-25-000019 · edgardoc.xml · derivative · entry 2

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,559

Underlying: Common Stock · 123,559 shares

Expires 2035-02-05

F1 · derivative.exercise_date: The stock options will vest in equal monthly tranches over 48 months

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February 05, 2025 Filed Feb 10, 2025 22:40 UTC Amendment PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 GrantIncentive Stock Option (right to buy) · Derivative 5,373 $0.00 Strike: $14.76 $0.00
Disclosure

SEC source: 0001583648-25-000019 · edgardoc.xml · derivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,373

Underlying: Common Stock · 5,373 shares

Expires 2035-02-05

F1 · derivative.exercise_date: The stock options will vest in equal monthly tranches over 48 months

Read SEC document
December 13, 2024 Filed Dec 18, 2024 01:43 UTC PALVELLA THERAPEUTICS, INC. PVLA · Entity 4452 GrantStock Option (right to buy) · Derivative 27,843 $0.00 Strike: $13.60 $0.00
Disclosure

SEC source: 0001062993-24-020819 · form4.xml · derivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,843

Underlying: Common Stock · 27,843 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest in equal monthly tranches over 48 months.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.