Form D · Biotechnology
Palvella Therapeutics, Inc.
Wayne, PA · CIK 0001742961
Offering snapshot reported Dec 30, 2022 · SEC filing
- Reported sold
- $9.7M Offering amount: $37.7M
- Investors reported
- 33 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Dec 16, 2022 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Dec 30, 2022 | Initial | $9,704,497 | No comparison | 33 | SEC filing |
| Jun 3, 2020 | Initial | $45,000,002 | No comparison | 48 | SEC filing |
| Aug 12, 2019 | Amendment | $4,791,954 | $1,390,731vs Apr 12, 2019 | 47 | SEC filing |
| Apr 12, 2019 | Initial | $3,401,223 | No comparison | 35 | SEC filing |
| Jun 14, 2018 | Initial | $4,439,504 | No comparison | 40 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $320K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-469329
Total Remaining Amount to be sold is subject to potential additional investments, including the occurrence of Milestone Closing
Sales Commission payment deferred until occurrence of Milestone Closing
Source: Form D, filed Dec 30, 2022. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Aditya Asokan | Director |
| Michael Christopher | Director |
| Todd Davis | Director |
| John Doux | Director |
| Cory Freedland | Director |
| Kathleen Goin | Executive |
| Timothy Henkel | Director |
| Elaine Heron | Director |
| George Jenkins | Director |
| Wesley H. Kaupinen | Director, Executive |
| Jeffrey Martini | Executive |
| Kathleen Mc Gowan | Executive |
| Scott Morenstein | Director |
| Braham Shroot, Ph.D. | Executive |
| David Tierney | Director |
| Tadd S Wessel | Director |
Issuer details
Industry: Biotechnology (See others in industry)
Address:
125 Strafford Avenue Ste 360
Wayne, PA, 19087
Wayne, PA, 19087