IPO registrations (S-1, F-1) · Registrants
PALVELLA THERAPEUTICS, INC.
- SEC CIK
- 1583648 · filings on EDGAR ↗
- Former names
- PIERIS PHARMACEUTICALS, INC. (2014–2024); Marika Inc. (2013–2014)
- Registration
- Form S-1, first filed 2013-08-20, last 2025-01-14; 4 initial registrations, 8 amendments
- Outcome
- Final prospectus filed 2015-06-30; declared effective 2014-01-28
- Industry (SIC)
- Pharmaceutical Preparations 2834
- Incorporated in
- NV
- Business address
- 353 W. LANCASTER AVENUE, SUITE 200, Wayne, PA 19087
- EIN
- 30-0784346
- Ticker
- PVLA (Nasdaq)
- EDGAR entity type
- operating
- Insiders and CEO pay
- PALVELLA THERAPEUTICS, INC. on the corporate pages
Offering terms
- Final price
- $2.75 per share (424B4 filed 2015-06-30)
- Shares sold
- 9,090,909
- Gross proceeds
- $25,000,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol PIRS
- Lead underwriters
- Oppenheimer (3,772,727 shares); JMP Securities (3,772,727 shares)
- Syndicate
- Roth Capital Partners (1,000,000); Trout Capital (545,455)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Federal award recipient: PALVELLA THERAPEUTICS, INC. Fuzzy (name and state)
- Form D issuer: PIERIS PHARMACEUTICALS, INC. EXACT (CIK (EXACT))
- SEC filer: PALVELLA THERAPEUTICS, INC. EXACT (CIK (EXACT))
Filings 26
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2013-08-20 | S-1 | S-1 (registration) | Marika Inc. | 0001165527-13-000753 ↗ |
| 2013-09-30 | S-1/A | S-1/A (amendment) | Marika Inc. | 0001165527-13-000826 ↗ |
| 2013-11-21 | S-1/A | S-1/A (amendment) | Marika Inc. | 0001165527-13-000994 ↗ |
| 2013-12-11 | S-1/A | S-1/A (amendment) | Marika Inc. | 0001165527-13-001034 ↗ |
| 2014-01-13 | S-1/A | S-1/A (amendment) | Marika Inc. | 0001165527-14-000009 ↗ |
| 2014-01-28 | EFFECT | EFFECT (declared effective) | Marika Inc. | 9999999995-14-000228 ↗ |
| 2015-02-17 | S-1 | S-1 (registration) | PIERIS PHARMACEUTICALS, INC. | 0000950123-15-002649 ↗ |
| 2015-04-20 | S-1/A | S-1/A (amendment) | PIERIS PHARMACEUTICALS, INC. | 0001193125-15-138260 ↗ |
| 2015-05-11 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-15-001292 ↗ |
| 2015-06-09 | S-1 | S-1 (registration) | PIERIS PHARMACEUTICALS, INC. | 0001193125-15-218026 ↗ |
| 2015-06-17 | S-1/A | S-1/A (amendment) | PIERIS PHARMACEUTICALS, INC. | 0001193125-15-225339 ↗ |
| 2015-06-24 | S-1/A | S-1/A (amendment) | PIERIS PHARMACEUTICALS, INC. | 0001193125-15-233441 ↗ |
| 2015-06-29 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-15-001764 ↗ |
| 2015-06-30 | 424B4 | 424B4 (final prospectus) | PIERIS PHARMACEUTICALS, INC. | 0001193125-15-241294 ↗ |
| 2016-08-03 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-16-005325 ↗ |
| 2016-08-03 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-16-005330 ↗ |
| 2016-08-03 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-16-005333 ↗ |
| 2018-08-24 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-18-002196 ↗ |
| 2019-12-12 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-19-002801 ↗ |
| 2021-05-28 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-21-002161 ↗ |
| 2021-08-13 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-21-003203 ↗ |
| 2024-11-08 | EFFECT | EFFECT (declared effective) | PIERIS PHARMACEUTICALS, INC. | 9999999995-24-003418 ↗ |
| 2024-12-31 | S-1 | S-1 (registration) | PALVELLA THERAPEUTICS, INC. | 0001437749-24-038553 ↗ |
| 2025-01-14 | S-1/A | S-1/A (amendment) | PALVELLA THERAPEUTICS, INC. | 0001437749-25-001017 ↗ |
| 2025-01-16 | EFFECT | EFFECT (declared effective) | PALVELLA THERAPEUTICS, INC. | 9999999995-25-000134 ↗ |
| 2026-01-29 | EFFECT | EFFECT (declared effective) | PALVELLA THERAPEUTICS, INC. | 9999999995-26-000347 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2015-06-24 | S-1/A | registration statement | $2.00 | - | - | 0 | primary document; price line | document ↗ | ||
| 2015-06-30 | 424B4 | final prospectus | $2.75 | 9,090,909 | $25,000,000 | Nasdaq PIRS | 4 | primary document; price sentence, shares headline, proceeds table, underwriting table 4, cover names 4 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| BIZZARI JEAN-PIERRE | Director | 6 | 2015–2020 | ||
| DEPTULA-HICKS DARLENE M | Officer | Acting Chief Financial Officer; Sr. Vice President and CFO; SVP, Chief Financial Officer | 3 | 2015–2016 | |
| ISALY SAMUEL D | Director,TenPercentOwner; TenPercentOwner | 4 | 2015–2018 | ||
| Khuong Chau Quang | Director,TenPercentOwner | 13 | 2015–2017 | ||
| ORBIMED ADVISORS LLC | Director,TenPercentOwner; TenPercentOwner; TenPercentOwnerOther | 6 | 2015–2018 | ||
| OrbiMed Capital GP III LLC | Director,TenPercentOwner; TenPercentOwner; TenPercentOwnerOther | 6 | 2015–2018 | ||
| Prelack Steven | Director | 5 | 2015–2019 | ||
| Richman Michael | Director | 25 | 2015–2023 | ||
| Takke Christina | Director | 1 | 2015 | ||
| Yoder Stephen S. | Director,Officer | CEO and President; Chief Executive Officer; President and CEO | 10 | 2015–2023 | |
| Matis Louis | Officer | Chief Development Officer; See Remarks; SVP, Chief Development Officer | 6 | 2015–2019 | |
| ADAMS JULIAN | Director | 4 | 2016–2018 | ||
| KIRITSY CHRISTOPHER P | Director | 19 | 2016–2026 | ||
| Knopf Claude | Officer | Chief Business Officer | 2 | 2016 | |
| THIBAULT LANCE E | Officer | Acting Chief Financial Officer | 1 | 2017 | |
| GERAGHTY JAMES A | Director | 14 | 2017–2024 | ||
| Reine Allan | Officer | Chief Financial Officer; See Remarks | 5 | 2017–2019 | |
| Barbier Ann | Director | 8 | 2018–2023 | ||
| Kiener Peter A | Director | 8 | 2018–2023 | ||
| Sherman Matthew L | Director | 8 | 2018–2023 | ||
| BIOTECHNOLOGY VALUE FUND II LP | Other | 6 | 2018–2024 | ||
| BIOTECHNOLOGY VALUE FUND L P | Other; TenPercentOwner | 6 | 2018–2024 | ||
| Biotechnology Value Trading Fund OS LP | Other | 6 | 2018–2024 | ||
| BVF INC/IL | Other; TenPercentOwner | 6 | 2018–2024 | ||
| BVF PARTNERS L P/IL | Other; TenPercentOwner | 6 | 2018–2024 | ||
| BVF Partners OS Ltd. | Other | 6 | 2018–2024 | ||
| LAMPERT MARK N | Other; TenPercentOwner | 6 | 2018–2024 | ||
| Said Maya R. | Director | 8 | 2019–2023 | ||
| Bures Thomas | Officer | Chief Financial Officer; Vice President, Finance | 5 | 2019–2023 | |
| Kaufmann Hitto | Officer | Chief Scientific Officer; SVP, Chief Scientific Officer | 6 | 2019–2023 | |
| Aquilo Capital Management, LLC | TenPercentOwner | 2 | 2020 | ||
| Demuth Tim | Officer | Chief Medical Officer | 4 | 2021–2022 | |
| Olwill Shane | Officer | Chief Development Officer | 4 | 2021–2023 | |
| Mousa Ahmed | Officer | Chief Business Officer | 3 | 2021–2023 | |
| BVF GP HOLDINGS LLC | Other; TenPercentOwner | 2 | 2023–2024 | ||
| BVF I GP LLC | Other; TenPercentOwner | 2 | 2023–2024 | ||
| BVF II GP LLC | Other | 2 | 2023–2024 | ||
| ADAR1 Capital Management, LLC | TenPercentOwner | 2 | 2024 | ||
| ADAR1 Partners, LP | TenPercentOwner | 2 | 2024 | ||
| Dellora Investments LP | Other; TenPercentOwner | 2 | 2024 | ||
| Davis Todd C | Director | 4 | 2024–2026 | ||
| Goin Kathleen | Officer | Chief Operating Officer | 15 | 2024–2026 | |
| HERON ELAINE J | Director | 5 | 2024–2026 | ||
| JENKINS GEORGE M | Director | 9 | 2024–2026 | ||
| Kaupinen Wes | Director,Officer; Director,Officer,TenPercentOwner | President and CEO; President & CEO | 5 | 2024–2026 | |
| Korenberg Matthew E | Officer | CFO and Treasurer; CFO & Treasurer; CFO, Treasurer | 5 | 2024–2026 | |
| Martini Jeffrey S | Officer | Chief Scientific Officer | 4 | 2024–2026 | |
| Wessel Tadd S. | Director | 4 | 2024–2026 | ||
| PALVELLA THERAPEUTICS, INC. | Director,Officer; Officer | CFO and Treasurer; Chief Operating Officer; Chief Scientific Officer; President and CEO | 4 | 2025 | |
| Kline Ashley Hartmann | Officer | Chief Commercial Officer | 3 | 2025–2026 | |
| Doux John | Director | 3 | 2026 | ||
| Pauls Matthew | Director | 2 | 2026 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Private offerings before or after (Form D)
| First filed | Issuer | Industry | Offering | Sold | Investors | Filings |
|---|---|---|---|---|---|---|
| 2019-11-20 | PIERIS PHARMACEUTICALS, INC. | Pharmaceuticals | $32,003,108 | $32,003,108 | 9 | 1 |
| 2016-06-15 | PIERIS PHARMACEUTICALS, INC. | Biotechnology | $16,500,440 | $16,500,440 | 15 | 1 |
| 2014-12-31 | PIERIS PHARMACEUTICALS, INC. | Pharmaceuticals | $13,559,020 | $13,559,020 | 139 | 1 |
| 2014-12-31 | PIERIS PHARMACEUTICALS, INC. | Pharmaceuticals | $40,000,000 | $40,000,000 | 21 | 1 |
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Plan sponsor | PALVELLA THERAPEUTICS, INC. | PA | Form 5500 (employee benefit plans) | name and state |
| Federal award recipient | PALVELLA THERAPEUTICS, INC. | PA | Federal spending (USAspending) | name and state |
| Form D issuer | Palvella Therapeutics, Inc. | PA | Form D private offerings | name and state |
| Form D issuer | PIERIS PHARMACEUTICALS, INC. | MA | Form D private offerings | CIK (EXACT) |
| Patent assignee | PALVELLA THERAPEUTICS, INC. | PA | Patents (USPTO) | name and state |
| SEC filer | PALVELLA THERAPEUTICS, INC. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Palvella Therapeutics, Inc. | PA | Trademarks (USPTO) | name and state |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Pharmaceutical Preparations, PA first:
- COLLAGENEX PHARMACEUTICALS INC PA
- ORAPHARMA INC PA
- VICURON PHARMACEUTICALS INC PA
- INOVIO PHARMACEUTICALS, INC. PA
- ADOLOR CORP PA
- PROTARGA INC PA
- Traws Pharma, Inc. PA
- MADRIGAL PHARMACEUTICALS, INC. PA
- Vitae Pharmaceuticals, Inc PA
- PhaseBio Pharmaceuticals Inc PA
In other datasets, the same topic (Health) in PA:
- Nonprofit: 445 FOUNDATION (Nonprofits (IRS Form 990))
Interests: Pharmaceutical Preparations · Health