# EDGAR Filing Document

**Accession Number:** 0001583648
**File Stem:** 0001104659-25-058532
**Filing Date:** 2025-6
**Character Count:** 6436
**Document Hash:** 5d663c25354b37793cd9c02d31b6e079
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-058532.hdr.sgml**: 20250611

**ACCESSION NUMBER**: 0001104659-25-058532

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20250610

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20250611

**DATE AS OF CHANGE**: 20250611

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** PALVELLA THERAPEUTICS, INC.
- **CENTRAL INDEX KEY:** 0001583648
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 300784346
- **STATE OF INCORPORATION:** NV
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37471
- **FILM NUMBER:** 251039961

**BUSINESS ADDRESS:**
- **STREET 1:** 125 STRAFFORD AVE
- **STREET 2:** SUITE 360
- **CITY:** WAYNE
- **STATE:** PA
- **ZIP:** 19087
- **BUSINESS PHONE:** (484) 253-1461

**MAIL ADDRESS:**
- **STREET 1:** 125 STRAFFORD AVE
- **STREET 2:** SUITE 360
- **CITY:** WAYNE
- **STATE:** PA
- **ZIP:** 19087

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Pieris Pharmaceuticals, Inc.
- **DATE OF NAME CHANGE:** 20241213

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PIERIS PHARMACEUTICALS, INC.
- **DATE OF NAME CHANGE:** 20141218

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Marika Inc.
- **DATE OF NAME CHANGE:** 20130805

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

**Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): **June 10, 2025**

**PALVELLA THERAPEUTICS, INC.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Nevada** | **001-37471** | **30-0784346** |
| (State or other jurisdiction of<br> incorporation) | (Commission<br> File Number) | (IRS Employer<br> Identification No.) |

---

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| | |
|:---|:---|
| **125 Strafford Ave, Suite 360** |  |
| **Wayne, Pennsylvania** | **19087** |
| (Address of principal executive offices) | (Zip Code) |

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Registrant's telephone number, including area code: **(484) 253-1461**

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

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| |
|:---|
| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |

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Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading <br> Symbol(s)** | **Name of each exchange <br> on which registered** |
| Common Stock, $0.001 par value per share | PVLA | The Nasdaq Capital Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ◻

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻

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| | |
|:---|:---|
| **Item 5.07** | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**Submission of Matters to a Vote of Security Holders.** |

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On June 10, 2025, Palvella Therapeutics, Inc. (the "***Company***") held its 2025 Annual Meeting of Stockholders (the "***Annual Meeting***") virtually. As of April 14, 2025, the record date for the Annual Meeting, there were 11,042,965 outstanding shares of the Company's common stock, par value $0.001 per share, entitled to vote at the Annual Meeting. The following is a brief description of the final voting results for each of the proposals submitted to a vote of the stockholders at the Annual Meeting, which are described in detail in the Company's definitive proxy statement for the Annual Meeting, filed with the U.S. Securities and Exchange Commission on April 30, 2025.

*Proposal 1 – Election of Class II Directors.* Elaine J. Heron, Ph.D. and Tadd S. Wessel were elected to the Board of Directors of the Company as Class II directors to serve until the Company's 2028 Annual Meeting of Stockholders and until their successors, if any, are duly elected and qualified or appointed, or their earlier death, resignation, retirement, disqualification or removal, as follows:

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| | | | |
|:---|:---|:---|:---|
| **Name** | **Votes For** | **Votes Withheld** | **Broker Non-Votes** |
| Elaine J. Heron, Ph.D. | 6647082 | 1255 | 667256 |
| Tadd S. Wessel | 6487034 | 161303 | 667256 |

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*Proposal 2 – Ratification of Independent Registered Public Accountant.* The appointment of Ernst &Young LLP as the Company's independent registered public accounting firm for the 2025 fiscal year was ratified, as follows:

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| | | |
|:---|:---|:---|
| **Votes For** | **Votes Against** | **Abstentions** |
| 7299907 | 8352 | 7334 |

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*Proposal 3 – Approval, on an advisory basis, of the compensation of the Company's named executive officers in 2024.* The stockholders approved, on an advisory basis, the compensation of the Company's named executive officers in 2024, as follows:

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| | | | |
|:---|:---|:---|:---|
| **Votes For** | **Votes Against** | **Abstentions** | **Broker Non-Votes** |
| 6550393 | 61078 | 36866 | 667256 |

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**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **PALVELLA THERAPEUTICS, INC.** | **PALVELLA THERAPEUTICS, INC.** |
| Date: June 11, 2025 | By: | /s/ Matthew Korenberg |
|  | Name: | Matthew Korenberg |
|  | Title: | *Chief Financial Officer* |

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