---
schema_version: "secwatch.filing_event.v1"
accession: "0001437749-23-018518"
form_type: "8-K"
ticker: "PVLA"
cik: "0001583648"
company_name: "PALVELLA THERAPEUTICS, INC."
filed_at: "2023-06-26T23:59:59+00:00"
generated_at: "2026-06-13T17:03:30.795636+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.4
calibrated_materiality_score: 0.4
confidence: "high"
source: SEC EDGAR
---

# Stockholders approve 6M share increase under 2020 equity plan and adoption of 2023 ESPP

## Summary
- At June 21 annual meeting, stockholders approved amendment to 2020 equity incentive plan adding 6,000,000 shares.
- Stockholders approved the 2023 Employee Stock Purchase Plan.
- Elected directors Stephen S. Yoder, Michael Richman, and Matthew L. Sherman as Class III directors.
- Ratified Ernst & Young as independent auditor for FY2023; approved say-on-pay compensation on non-binding basis.

## SEC filing metadata
- accession: 0001437749-23-018518
- form_type: 8-K
- ticker: PVLA
- cik: 0001583648
- company_name: PALVELLA THERAPEUTICS, INC.
- filed_at: 2023-06-26T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.4
- calibrated_materiality_score: 0.4
- confidence: high
- sec_items: 5.02, 5.07, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1583648/000143774923018518/0001437749-23-018518-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1583648/000143774923018518/pirs20230622_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001437749-23-018518
- JSON: https://secwatch.observer/filing/0001437749-23-018518.json
- Plain text: https://secwatch.observer/filing/0001437749-23-018518.txt

## Key facts
- Shareholder Votes
  PALVELLA THERAPEUTICS, INC. shareholders approved Ratification of appointment of Ernst & Young LLP as independent auditor at the 2023-06-21 meeting.
  - Proposal: auditor ratification
  - Outcome: passed
  - Meeting: 2023-06-21
  source text: 4. Auditor Ratification Votes For Votes Against Votes Abstained Broker Non-Votes 44,353,310 96,301 394,192 -
  evidence_url: https://www.sec.gov/Archives/edgar/data/1583648/000143774923018518/0001437749-23-018518-index.htm
- Shareholder Votes
  PALVELLA THERAPEUTICS, INC. shareholders approved Non-binding advisory vote on compensation of named executive officers at the 2023-06-21 meeting.
  - Proposal: say on pay
  - Outcome: passed
  - Meeting: 2023-06-21
  source text: 5. Say on Pay Votes For Votes Against Votes Abstained Broker Non-Votes 17,227,404 2,828,509 5,556,466 19,231,424
  evidence_url: https://www.sec.gov/Archives/edgar/data/1583648/000143774923018518/0001437749-23-018518-index.htm
- Shareholder Votes
  PALVELLA THERAPEUTICS, INC. shareholders approved Approval of amendment to the 2020 EIP at the 2023-06-21 meeting.
  - Proposal: equity plan
  - Outcome: passed
  - Meeting: 2023-06-21
  source text: 2. 2020 EIP Amendment Approval Votes For Votes Against Votes Abstained Broker Non-Votes 18,811,753 6,306,669 493,957 19,231,424
  evidence_url: https://www.sec.gov/Archives/edgar/data/1583648/000143774923018518/0001437749-23-018518-index.htm
- Shareholder Votes
  PALVELLA THERAPEUTICS, INC. shareholders approved Approval of 2023 ESPP at the 2023-06-21 meeting.
  - Outcome: passed
  - Meeting: 2023-06-21
  source text: 3. 2023 ESPP Approval Votes For Votes Against Votes Abstained Broker Non-Votes 19,672,797 410,705 5,528,877 19,231,424
  evidence_url: https://www.sec.gov/Archives/edgar/data/1583648/000143774923018518/0001437749-23-018518-index.htm
- Shareholder Votes
  PALVELLA THERAPEUTICS, INC. shareholders approved Election of Directors at the 2023-06-21 meeting.
  - Proposal: director election
  - Outcome: passed
  - Meeting: 2023-06-21
  source text: 1. Election of Directors Name Votes For Votes Withheld Broker Non-Votes Stephen S. Yoder 25,191,766 420,613 19,231,424 Michael Richman 23,534,942 2,077,437 19,231,424 Matthew L. Sherman, M.D. 25,191,653 420,726 19,231,424
  evidence_url: https://www.sec.gov/Archives/edgar/data/1583648/000143774923018518/0001437749-23-018518-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.