الإحصائيات الأساسية
| LEI | 254900AJDH8PAOOI5T33 |
| CIK | 1583648 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Pieris Pharmaceuticals, Inc.
SEC Filings (Chronological Order)
توفر هذه الصفحة قائمة كاملة ومرتبة ترتيبًا زمنيًا لتصريحات هيئة الأوراق المالية والبورصات، باستثناء تصريحات الملكية التي نقدمها في مكان آخر.
| September 3, 2025 |
Exhibit 99.1 1 First - in - disease therapies for patients with rare genetic skin diseases Corporate Presentation September 2025 2 Forward Looking Statements This presentation contains forward - looking statements of Palvella Therapeutics, Inc. (the Company”) within the meaning of the Pr ivate Securities Litigation Reform Act of 1995. Forward - looking statements include all statements that are no |
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| September 3, 2025 |
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): September 3, 2025 PALVELLA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commis |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-37471 Palvella Th |
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| August 14, 2025 |
Severance Agreement, dated May 21, 2025, by and between Ashley Kline and Palvella Therapeutics, Inc. Exhibit 10.2 Severance AGREEMENT THIS SEVERANCE AGREEMENT (the “Severance Agreement”) is entered into on May 21, 2025 by and between Palvella Therapeutics Inc., a Delaware corporation (the “Company”), and Ashley Kline (the “Employee”) (collectively, the “Parties”). WHEREAS, in connection with the commencement of the Employee’s employment with the Company, the parties wish to set forth their agreem |
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| August 14, 2025 |
Offer Letter, dated May 21, 2025, by and between Ashley Kline and Palvella Therapeutics, Inc. Exhibit 10.1 Certain identified information has been excluded from this exhibit in accordance with Regulation S-K Item 601(a)(6) because it would constitute a clearly unwarranted invasion of personal privacy. [***] indicates that information has been redacted. May 21, 2025 Ashley Kline [***] [***] RE: Offer Letter for Employment with Palvella Therapeutics, Inc. Dear Ashley: Congratulations! On beh |
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| August 14, 2025 |
Exhibit 99.1 Palvella Therapeutics Reports Second Quarter 2025 Financial Results and Provides Corporate Update Phase 3 SELVA trial evaluating QTORIN™ 3.9% rapamycin anhydrous gel (QTORIN™ rapamycin) for microcystic lymphatic malformations completed enrollment, exceeding enrollment target by over 25%; top-line results on track for the first quarter of 2026 Top-line results for Phase 2 TOIVA trial e |
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| August 14, 2025 |
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): August 14, 2025 Palvella Therapeutics, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commissi |
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| August 14, 2025 |
First-in-disease therapies for patients with rare genetic skin diseases Q2 2025 Financial Results & Corporate Update August 14, 2025 Forward Looking Statements This presentation contains forward-looking statements of Palvella Therapeutics, Inc. |
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| June 11, 2025 |
Submission of Matters to a Vote of Security Holders 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) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commission |
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| May 15, 2025 |
Exhibit 99.1 Palvella Therapeutics Reports First Quarter 2025 Financial Results and Provides Corporate Update Phase 3 SELVA trial evaluating QTORIN™ 3.9% rapamycin anhydrous gel (QTORIN™ rapamycin) for the treatment of microcystic lymphatic malformations (microcystic LMs) has exceeded enrollment target of 40 patients; enrollment expected to close in June 2025 Phase 3 SELVA trial top-line results a |
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| May 15, 2025 |
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): May 15, 2025 Palvella Therapeutics, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commission |
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| May 15, 2025 |
First-in-disease therapies for patients with rare genetic skin diseases Q1 2025 Financial Results & Corporate Update May 15, 2025 Forward Looking Statements This presentation contains forward-looking statements of Palvella Therapeutics, Inc. |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-37471 Palvella T |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| April 30, 2025 |
TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule |
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| March 31, 2025 |
Exhibit 99.1 Palvella Therapeutics Reports Full Year 2024 Financial Results and Provides Corporate Update Upon close of merger and $78.9mm concurrent private placement from a syndicate of leading healthcare-dedicated investors, completed transformation to a publicly traded rare disease biopharmaceutical company advancing a late clinical-stage pipeline and a platform for treating serious, rare gene |
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| March 31, 2025 |
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): March 31, 2025 Palvella Therapeutics, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commissio |
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| March 31, 2025 |
Exhibit 4.1 PALVELLA THERAPEUTICS, INC. DESCRIPTION OF SECURITIES The following description of the capital stock of Palvella Therapeutics, Inc. (the “Company,” “we,” “us,” and “our”) and provisions of our Amended and Restated Articles of Incorporation, as amended (the “Articles of Incorporation”), and Amended and Restated Bylaws, as amended (the “Bylaws”), are summaries and are qualified in their |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 001-37471 Palvella Therap |
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| March 31, 2025 |
Palvella Therapeutics, Inc. Clawback Policy Exhibit 97.1 PALVELLA THERAPEUTICS, INC. DODD-FRANK CLAWBACK POLICY The Board of Directors (the “Board”) of Palvella Therapeutics, Inc. (the “Company”) has adopted the following Dodd-Frank Clawback Policy (this “Policy”) on March 28, 2025 (the “Effective Date”). 1. Purpose. The purpose of this Policy is to provide for the recoupment of certain incentive compensation pursuant to Section 954 of the |
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| March 31, 2025 |
Palvella Therapeutics, Inc. Insider Trading Policy Exhibit 19.1 PALVELLA THERAPEUTICS, INC. INSIDER TRADING POLICY Effective March 28, 2025 I. Purpose It is illegal for any employee, officer or director of Palvella Therapeutics, Inc. (the “Company”) to trade in the securities of the Company while in the possession of material non-public information about the Company. It is also illegal for any employee, officer or director of the Company to give ( |
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| March 31, 2025 |
First-in-disease therapies for patients with rare genetic skin diseases Full Year 2024 Financial Results & Corporate Update March 31, 2025 Forward Looking Statements This presentation contains forward-looking statements of Palvella Therapeutics, Inc. |
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| March 4, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): March 4, 2025 PALVELLA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commission |
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| March 4, 2025 |
Corporate Presentation of Palvella Therapeutics, Inc., dated March 4, 2025* Exhibit 99.1 |
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| February 18, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Palvella Therapeutics, Inc. |
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| February 18, 2025 |
As filed with the Securities and Exchange Commission on February 18, 2025 As filed with the Securities and Exchange Commission on February 18, 2025 Registration No. |
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| January 17, 2025 |
Palvella Therapeutics, Inc. Up to 5,634,504 Shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(3) File No.: 333-284093 PROSPECTUS Palvella Therapeutics, Inc. Up to 5,634,504 Shares of Common Stock This prospectus relates to the proposed offer and resale or other disposition from time to time by the selling stockholders identified in this prospectus of up to (i) 3,168,048 shares of our common stock, par value $0.001 per share, and (ii) 2,466,4 |
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| January 15, 2025 |
PALVELLA THERAPEUTICS, INC. 125 STRAFFORD AVENUE, SUITE 360 WAYNE, PA 19087 January 14, 2025 PALVELLA THERAPEUTICS, INC. 125 STRAFFORD AVENUE, SUITE 360 WAYNE, PA 19087 January 14, 2025 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street NE Washington, D.C. 20549 Attn: Daniel Crawford Re: Palvella Therapeutics, Inc. Registration Statement on Form S-1 Filed December 31, 2024, as amended on January 14, 2025 (File No. 333-284093) Ladies and |
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| January 14, 2025 |
As filed with the Securities and Exchange Commission on January 13, 2025 Table of Contents As filed with the Securities and Exchange Commission on January 13, 2025 Registration No. |
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| January 13, 2025 |
Corporate Presentation of Palvella Therapeutics, Inc., dated January 13, 2025* Exhibit 99.1 |
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| January 13, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): January 13, 2025 PALVELLA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commiss |
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| January 8, 2025 |
EXHIBIT 99.1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of Common Stock of Palvella Therapeutics, Inc. Date: January 8, 2025 FRAZIER LIFE SCIENCES PUBLIC FUND, L.P. By: FHM |
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| December 31, 2024 |
As filed with the Securities and Exchange Commission on December 30, 2024 Table of Contents As filed with the Securities and Exchange Commission on December 30, 2024 Registration No. |
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| December 31, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Palvella Therapeutics, Inc. |
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| December 20, 2024 |
EXHIBIT 99.1 JOINT FILING AGREEMENT We, the undersigned, hereby express our agreement that the Schedule 13G (or any amendments thereto) relating to the Common Stock of Palvella Therapeutics, Inc. is filed on behalf of each of us. Dated: December 20, 2024 Samsara BioCapital, L.P. By: Samsara BioCapital GP, LLC its General Partner By: /s/ Srinivas Akkaraju Name: Srinivas Akkaraju Title: Managing Mem |
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| December 20, 2024 |
Exhibit B CONTROL PERSON IDENTIFICATION Suvretta Capital Management, LLC is the relevant entity for which Aaron Cowen is the control person. |
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| December 20, 2024 |
EX-99 2 d11552641ex99-a.htm Exhibit A JOINT FILING AGREEMENT The undersigned agree that this Schedule 13G dated December 20, 2024 relating to the Common stock, $0.001 par value per share, of Palvella Therapeutics, Inc. shall be filed on behalf of the undersigned. SUVRETTA CAPITAL MANAGEMENT, LLC By: /s/ Aaron Cowen Name: Aaron Cowen Title: Authorized Signatory AVERILL MASTER FUND, LTD. By: /s/ Aar |
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| December 20, 2024 |
EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing on behalf of each of them of a statement on Schedule 13D (including amendments thereto) with respect to the Common Stock of Palvella Therapeutics, Inc. |
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| December 17, 2024 |
BIOTECHNOLOGY VALUE FUND L P - AMENDMENT NO. 1 TO SCHEDULE 13G SC 13G/A 1 sc13ga107422pirs12172024.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 Palvella Therapeutics, Inc. (Name of Issuer) Common Stock, $0.001 |
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| December 16, 2024 |
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): December 13, 2024 PALVELLA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commis |
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| December 16, 2024 |
Separation Agreement, dated December 13, 2024, between Pieris Pharmaceuticals, Inc. and Thomas Bures Exhibit 10.23 225 Franklin Street, 26th Floor Boston, MA 02110 December 13, 2024 Thomas Bures *** *** Re: Separation Agreement Dear Tom: The purpose of this letter agreement (the “Agreement”) is to set forth the terms of your separation from Pieris Pharmaceuticals, Inc. (the “Company”). Provision of the Separation Benefits described below is contingent on your agreement to and compliance with the |
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| December 16, 2024 |
Exhibit 10.27 FORM OF CONTINGENT VALUE RIGHTS AGREEMENT by and among PIERIS PHARMACEUTICALS, INC., SHAREHOLDER REPRESENTATIVE SERVICES LLC, as the Holder Representative, and COMPUTERSHARE INC. and COMPUTERSHARE TRUST COMPANY, N.A., acting jointly as Rights Agent Dated as of December 13, 2024 1 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.1 Definitions 1 Section 1.2 Other Definitional P |
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| December 16, 2024 |
Certificate of Withdrawal of the Series F Certificate of Designation Exhibit 3.10 |
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| December 16, 2024 |
Certificate of Amendment to Articles of Incorporation Exhibit 3.11 |
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| December 16, 2024 |
Form of Stock Option Grant Notice and Stock Option Agreement Exhibit 10.29 PALVELLA THERAPEUTICS, INC. 2024 EQUITY INCENTIVE PLAN STOCK OPTION GRANT NOTICE AND STOCK OPTION AGREEMENT Palvella Therapeutics, Inc. (the “Company”), pursuant to its 2024 Equity Incentive Plan (the “Plan”), hereby grants to the participant set forth below (“Participant”), an option to purchase the number of Shares of the Company’s common stock set forth below (the “Option”). The O |
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| December 16, 2024 |
Exhibit 10.22 225 Franklin Street, 26th Floor Boston, MA 02110 December 13, 2024 Stephen Yoder *** *** Re: Separation Agreement Dear Steve: The purpose of this letter agreement (the “Agreement”) is to set forth the terms of your separation from Pieris Pharmaceuticals, Inc. (the “Company”). Provision of the Separation Benefits described below is contingent on your agreement to and compliance with t |
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| December 16, 2024 |
Exhibit 99.1 Palvella Therapeutics Announces Closing of Merger with Pieris Pharmaceuticals and Concurrent Private Placement of $78.9 Million Palvella Therapeutics to debut on Nasdaq under the ticker symbol “PVLA” as a publicly traded rare disease biopharmaceutical company advancing a late clinical-stage pipeline and a platform for treating serious, rare genetic diseases Strong balance sheet with a |
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| December 16, 2024 |
PALVELLA MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS Exhibit 99.2 PALVELLA MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The following discussion and analysis provides information which Palvella’s management believes is relevant to an assessment and understanding of Palvella’s results of operations and financial condition. This discussion and analysis should be read together with the section of this proxy stat |
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| December 16, 2024 |
Code of Business Conduct and Ethics Exhibit 14.1 PALVELLA THERAPEUTICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS Effective December 13, 2024 I. Introduction This Code of Business Conduct and Ethics (this “Code”) has been adopted by the Board of Directors (the “Board”) of Palvella Therapeutics, Inc. (the “Company”) and summarizes the standards that guide the actions of all officers, employees, directors, independent contractors, cons |
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| December 16, 2024 |
Form of Common Stock Certificate Exhibit 4.1 |
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| December 16, 2024 |
PALVELLA THERAPEUTICS, INC. Table of Contents Exhibit 99.3 FINANCIAL STATEMENTS (UNAUDITED) Palvella Therapeutics, Inc. For the Quarterly Period Ended September 30, 2024 PALVELLA THERAPEUTICS, INC. Table of Contents Financial Statements (Unaudited) Balance Sheets as of September 30, 2024 and December 31, 2023 3 Statements of Operations for the Three and Nine Months Ended September 30, 2024 and 2023 4 Statements of Changes in Convertible Prefe |
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| December 16, 2024 |
Exhibit 10.24 PALVELLA THERAPEUTICS, INC. CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (the “Agreement”) is entered into this 13th day of December 2024 (the “Effective Date”) by and between Palvella Therapeutics, Inc. a Delaware Corporation (“Company”) located at 125 Strafford Avenue, Suite 360, Wayne, PA 19087 and Tom Bures an individual (“Consultant”) located at ***. The parties, intending to |
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| December 16, 2024 |
List of Subsidiaries of Palvella Therapeutics, Inc. Exhibit 21.1 Subsidiaries Entity Jurisdiction of Organization Palvella Therapeutics, Inc. Delaware Pieris Pharmaceuticals GmbH Germany Pieris Australia Pty Limited Australia Pieris Pharmaceuticals Securities Corporation Massachusetts |
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| December 16, 2024 |
Form of Notice of Grant of Restricted Stock Units Award Exhibit 10.30 PALVELLA THERAPEUTICS, INC. 2024 EQUITY INCENTIVE PLAN NOTICE OF GRANT OF RESTRICTED STOCK UNITS AWARD Palvella Therapeutics, Inc. (the “Company”), pursuant to its 2024 Equity Incentive Plan (the “Plan”), hereby grants to the individual listed below (the “Participant”) this award of Restricted Stock Units. The Restricted Stock Units described in this Notice of Grant of Restricted Sto |
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| December 16, 2024 |
Certificate of Amendment to Articles of Incorporation Exhibit 3.9 |
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| December 16, 2024 |
UNAUDITED PRO FORMA CONDENSED CONSOLIDATED COMBINED FINANCIAL INFORMATION Exhibit 99.4 UNAUDITED PRO FORMA CONDENSED CONSOLIDATED COMBINED FINANCIAL INFORMATION The following unaudited pro forma condensed consolidated combined financial information is provided to aid you in your analysis of the financial aspects of the Merger and related transactions and presents the combination of the financial information of Pieris and Palvella adjusted to give effect to the Merger an |
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| December 16, 2024 |
EXHIBIT 10.26 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is dated as of December 13, 2024, by and among Palvella Therapeutics, Inc., a Nevada corporation (the “Company”), and the several purchasers signatory hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). This Agreement is made pursuant to the Securitie |
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| December 12, 2024 |
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): December 11, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commi |
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| December 12, 2024 |
Exhibit 3.1 |
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| December 12, 2024 |
Certificate of Withdrawal of the Series F Preferred Stock, dated December 12, 2024 Exhibit 3.2 |
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| December 12, 2024 |
Palvella Therapeutics, Inc.'s 2024 Equity Incentive Plan Exhibit 10.1 PALVELLA THERAPEUTICS, INC. 2024 EQUITY INCENTIVE PLAN Section 1. Purpose; Definitions. The purposes of the Palvella Therapeutics, Inc. 2024 Equity Incentive Plan (as amended from time to time, the “Plan”) are to: (a) enable Palvella Therapeutics, Inc. (the “Company”) and its affiliated companies to recruit and retain highly qualified employees, directors and consultants; (b) provide |
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| December 12, 2024 |
Palvella Therapeutics, Inc. 2024 Equity Incentive Plan Exhibit 10.1 PALVELLA THERAPEUTICS, INC. 2024 EQUITY INCENTIVE PLAN Section 1. Purpose; Definitions. The purposes of the Palvella Therapeutics, Inc. 2024 Equity Incentive Plan (as amended from time to time, the “Plan”) are to: (a) enable Palvella Therapeutics, Inc. (the “Company”) and its affiliated companies to recruit and retain highly qualified employees, directors and consultants; (b) provide |
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| December 12, 2024 |
Certificate of Withdrawal of the Series F Preferred Stock, dated December 12, 2024 Exhibit 3.2 |
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| December 12, 2024 |
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): December 11, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commi |
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| December 12, 2024 |
Exhibit 3.1 |
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| December 3, 2024 |
Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 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): December 2, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commis |
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| December 3, 2024 |
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): December 2, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commis |
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| November 14, 2024 |
SC 13G/A 1 p24-3210sc13ga.htm PIERIS PHARMACEUTICALS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this |
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| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 13, 2024 |
EXHIBIT 10.1 Certain identified information has been excluded from this exhibit in accordance with Regulation S-K Item 601(a)(6) because it would constitute a clearly unwarranted invasion of personal privacy. [***] indicates that information has been redacted. Aufhebungsvertrag zwischen Pieris Pharmaceuticals GmbH, Zeppelinstraße 3, 85399 Hallbergmoos - nachfolgend die „Gesellschaft“ - und Dr. Sha |
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| November 8, 2024 |
PROPOSED MERGER YOUR VOTE IS VERY IMPORTANT Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-281459 PROPOSED MERGER YOUR VOTE IS VERY IMPORTANT To the Stockholders of Pieris Pharmaceuticals, Inc. and Palvella Therapeutics, Inc., Pieris Pharmaceuticals, Inc., a Nevada corporation, or “Pieris”, and Palvella Therapeutics, Inc., a Delaware corporation, or “Palvella”, entered into an Agreement and Plan of Merger, or the “M |
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| November 7, 2024 |
As filed with the Securities and Exchange Commission on November 7, 2024 Table of Contents As filed with the Securities and Exchange Commission on November 7, 2024 Registration No. |
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| November 7, 2024 |
Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 November 7, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate & Construction 100 F Street, N.E. Washington, D.C. 20549 Attention: Gary Newberry Vanessa Robertson Lauren Hamill Laura Crotty Re: Pieris Pharmaceuticals, Inc. Registration Statement on Form S |
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| November 7, 2024 |
Filed by Pieris Pharmaceuticals, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Pieris Pharmaceuticals, Inc. Commission File No.: 001-37471 Date: November 7, 2024 Palvella Therapeutics Announces First Patient Dosed in SELVA Phase 3 Clinical Trial of QTORIN™ 3.9% Rapamycin Anhydrous Gel ( |
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| November 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| November 5, 2024 |
Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 November 5, 2024 Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 November 5, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate & Construction 100 F Street, NE Washington, D.C. 20549 Attention: Gary Newberry Vanessa Robertson Lauren Hamill Laura Crotty Re: Pieris Pharmaceuticals, Inc. Amendment No. 3 to Registration St |
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| November 5, 2024 |
As filed with the Securities and Exchange Commission on November 5, 2024 Table of Contents As filed with the Securities and Exchange Commission on November 5, 2024 Registration No. |
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| October 29, 2024 |
Exhibit 10.28 SEVERANCE AGREEMENT THIS SEVERANCE AGREEMENT (the “Severance Agreement”) is entered into on October 9, 2024 by and between Palvella Therapeutics Inc., a Delaware corporation (the “Company”), and Matthew E. Korenberg (the “Employee”) (collectively, the “Parties”). WHEREAS, in connection with the commencement of the Employee’s employment with the Company, the parties wish to set forth |
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| October 29, 2024 |
As filed with the Securities and Exchange Commission on October 29, 2024 Table of Contents As filed with the Securities and Exchange Commission on October 29, 2024 Registration No. |
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| October 29, 2024 |
Exhibit 99.8 |
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| October 29, 2024 |
Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 October 29, 2024 Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 October 29, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate & Construction 100 F Street, NE Washington, D.C. 20549 Attention: Gary Newberry Vanessa Robertson Lauren Hamill Laura Crotty Re: Pieris Pharmaceuticals, Inc. Amendment No. 2 to Registration St |
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| October 29, 2024 |
Exhibit 10.27 Certain identified information has been excluded from this exhibit in accordance with Regulation S-K Item 601(a)(6) because it would constitute a clearly unwarranted invasion of personal privacy. [***] indicates that information has been redacted. October 9, 2024 Matthew E. Korenberg [***] [***] Dear Matt: On behalf of Palvella Therapeutics, Inc. (the “Company”), I am excited and ple |
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| October 29, 2024 |
Form of Preliminary Proxy Card of Pieris Pharmaceuticals, Inc. (previously filed) Exhibit 99.1 |
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| October 29, 2024 |
Exhibit 10.19 FIRST AMENDMENT TO DEVELOPMENT FUNDING AND ROYALTIES AGREEMENT This First Amendment to Development Funding and Royalties Agreement (this “Amendment”) is made effective as of May 22, 2020 (the “Amendment Effective Date”) by and between Ligand Pharmaceuticals Incorporated, a Delaware corporation (the “Ligand”), and Palvella Therapeutics, Inc., a Delaware corporation (“Palvella” and, to |
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| October 17, 2024 |
Filed by Pieris Pharmaceuticals, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Pieris Pharmaceuticals, Inc. Commission File No.: 001-37471 Date: October 17, 2024 Palvella Therapeutics Appoints Matthew E. Korenberg as Chief Financial Officer Mr. Korenberg is a seasoned executive with sig |
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| October 15, 2024 |
As filed with the Securities and Exchange Commission on October 15, 2024 As filed with the Securities and Exchange Commission on October 15, 2024 Registration No. |
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| October 15, 2024 |
Form of Preliminary Proxy Card of Pieris Pharmaceuticals, Inc. Exhibit 99.1 |
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| October 15, 2024 |
Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 October 15, 2024 Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 October 15, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate & Construction 100 F Street, NE Washington, D.C. 20549 Attention: Gary Newberry Vanessa Robertson Lauren Hamill Laura Crotty Re: Pieris Pharmaceuticals, Inc. Amendment No. 1 to Registration St |
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| October 15, 2024 |
Filed by Pieris Pharmaceuticals, Inc. Pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Pieris Pharmaceuticals, Inc. Commission File No.: 001-37471 Date: October 15, 2024 Palvella Therapeutics Announces Presentations at the 12th Pediatric Dermatology Research Alliance (PeDRA) Annual Conference P |
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| October 15, 2024 |
Consent of Stifel, Nicolaus & Company, Incorporated (previously filed) Exhibit 99.7 STIFEL, NICOLAUS & COMPANY, INCORPORATED October 15, 2024 Board of Directors Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 Re: Registration Statement on Form S-4 of Pieris Pharmaceuticals, Inc. Ladies and Gentlemen: Reference is made to our opinion letter, dated July 23, 2024 (the “Opinion”), with respect to the fairness, from a financial point of view, |
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| October 3, 2024 |
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): October 3, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commiss |
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| October 3, 2024 |
Exhibit 99.1 Palvella Therapeutics Awarded Up to $2.6 million Grant from the U.S. Food and Drug Administration (FDA) Office of Orphan Products Development to Support Phase 3 Single-Arm, Baseline-Controlled Trial in Microcystic Lymphatic Malformations FDA Orphan Products Grants are based on scientific and technical merit as determined by rare disease and regulatory experts Ongoing Phase 3 trial eva |
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| October 3, 2024 |
Exhibit 99.1 Palvella Therapeutics Awarded Up to $2.6 million Grant from the U.S. Food and Drug Administration (FDA) Office of Orphan Products Development to Support Phase 3 Single-Arm, Baseline-Controlled Trial in Microcystic Lymphatic Malformations FDA Orphan Products Grants are based on scientific and technical merit as determined by rare disease and regulatory experts Ongoing Phase 3 trial eva |
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| October 3, 2024 |
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): October 3, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commiss |
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| September 23, 2024 |
Filing fee table (previously filed) Exhibit 107 Calculation of Filing Fee Table Form S-4 (Form Type) PIERIS PHARMACEUTICALS, INC. |
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| September 23, 2024 |
Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 September 20, 2024 Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 September 20, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Real Estate & Construction 100 F Street, NE Washington, D.C. 20549 Attention: Gary Newberry Vanessa Robertson Lauren Hamill Laura Crotty Re: Pieris Pharmaceuticals, Inc. Registration Statement on Form S |
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| September 23, 2024 |
As filed with the Securities and Exchange Commission on September 20, 2024 As filed with the Securities and Exchange Commission on September 20, 2024 Registration No. |
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| August 14, 2024 |
Exhibit 10.2 |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| August 14, 2024 |
AMENDED AND RESTATED ARTICLES OF INCORPORATION OF PIERIS PHARMACEUTICALS, INC. ARTICLE I Exhibit 10.1 AMENDED AND RESTATED ARTICLES OF INCORPORATION OF PIERIS PHARMACEUTICALS, INC. ARTICLE I The name of the corporation is Pieris Pharmaceuticals, Inc. (the "Corporation"). ARTICLE II The Corporation may, from time to time, in the manner provided by law, change the registered agent and registered office within the State of Nevada. The Corporation may also maintain an office or offices fo |
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| August 9, 2024 |
Consent of Christopher Kiritsy to be named as a director (previously filed) Exhibit 99.6 Consent to be Named as a Director Nominee In connection with the filing by Pieris Pharmaceuticals, Inc. (the “Company”) of the Registration Statement on Form S-4 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and a |
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| August 9, 2024 |
Exhibit 10.16 OFFICE BUILDING LEASE STRAFFORD OFFICE BUILDINGS, WAYNE, PENNSYLVANIA Property managed by: The Strafford Office Buildings 200 Eagle Road, #118 Wayne, Pennsylvania Phone: (610) 688-0284 FAX: (610) 688-5287 BUILDING LEASE STRAFFORD OFFICE BUILDINGS TABLE OF CONTENTS LEASE SUMMARY 1 ARTICLE 1 LEASE OF THE OFFICE SUITE 2 Section 1.01. Lease of Office Suite 2 Section 1.02. Permitted Use 2 |
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| August 9, 2024 |
Exhibit 10.22 Certain identified information has been excluded from this exhibit in accordance with Regulation S-K Item 601(a)(6) because it would constitute a clearly unwarranted invasion of personal privacy. [***] indicates that information has been redacted. Palvella Therapeutics, Inc. (484) 253-1461 Relentlessly Serving Patients with Rare Diseases AUGUST 31, 2018 Kathleen A. McGowan *** *** De |
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| August 9, 2024 |
Exhibit 10.23 SEVERANCE AGREEMENT THIS SEVERANCE AGREEMENT (the “Severance Agreement”) is entered into on May 22, 2020 by and between Palvella Therapeutics Inc., a Delaware corporation (the “Company”), and Kathleen A. McGowan (the “Employee”) (collectively, the “Parties”). WHEREAS, the Employee is currently employed by the Company; WHEREAS, the Company has requested that the Employee enter into a |
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| August 9, 2024 |
Palvella Therapeutics, Inc. 2019 Equity Incentive Plan (previously filed) Exhibit 10.9 PALVELLA THERAPEUTICS, INC. 2019 EQUITY INCENTIVE PLAN SECTION 1. Purpose; Definitions. The purposes of the Palvella Therapeutics, Inc. 2019 Equity Incentive Plan (the “Plan”) are to enable Palvella Therapeutics, Inc., a Delaware corporation (the “Company”), and its affiliated companies to (i) recruit and retain highly qualified employees, directors, consultants and other service prov |
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| August 9, 2024 |
Exhibit 10.24 SEVERANCE AGREEMENT THIS SEVERANCE AGREEMENT (the “Severance Agreement”) is entered into on May 22, 2020 by and between Palvella Therapeutics Inc., a Delaware corporation (the “Company”), and Kathleen Goin (the “Employee”) (collectively, the “Parties”). WHEREAS, the Employee is currently employed by the Company; WHEREAS, the Company has requested that the Employee enter into a Confid |
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| August 9, 2024 |
List of Subsidiaries of Pieris Pharmaceuticals, Inc. (previously filed) Exhibit 21.1 Subsidiaries Entity Jurisdiction of Organization Pieris Pharmaceuticals GmbH Germany Pieris Australia Pty Limited Australia Pieris Pharmaceuticals Securities Corporation Polo Merger Sub, Inc. Massachusetts Delaware |
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| August 9, 2024 |
As filed with the Securities and Exchange Commission on August 9, 2024 As filed with the Securities and Exchange Commission on August 9, 2024 Registration No. |
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| August 9, 2024 |
EXHIBIT 10.20 CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY [***], HAS BEEN OMITTED BECAUSE LIGAND PHARMACEUTICALS INCORPORATED HAS DETERMINED THE INFORMATION (I) IS NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO LIGAND PHARMACEUTICALS INCORPORATED IF PUBLICLY DISCLOSED. Execution Version AMENDMENT NO. 2 TO DEVELOPMENT FUNDING AND ROYALTIES AGREEMENT THIS AME |
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| August 9, 2024 |
Consent of George M. Jenkins to be named as a director (previously filed) Exhibit 99.4 Consent to be Named as a Director Nominee In connection with the filing by Pieris Pharmaceuticals, Inc. (the “Company”) of the Registration Statement on Form S-4 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and a |
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| August 9, 2024 |
Exhibit 10.21 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is entered into on May 20, 2020 by and between Palvella Therapeutics Inc., a Delaware corporation (the “Company”), and Wesley H. Kaupinen (the “Executive”) (collectively, the “Parties”). WHEREAS, the Executive has been an employee of the Company since December 24, 2015; and WHEREAS, the Company and the Executive desire |
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| August 9, 2024 |
Consent of Tadd S. Wessel to be named as a director (previously filed) Exhibit 99.5 Consent to be Named as a Director Nominee In connection with the filing by Pieris Pharmaceuticals, Inc. (the “Company”) of the Registration Statement on Form S-4 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and a |
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| August 9, 2024 |
Exhibit 10.19 Certain identified information has been excluded from this exhibit in accordance with Regulation S-K Item 601(a)(6) because it would constitute a clearly unwarranted invasion of personal privacy. [***] indicates that information has been redacted. Execution Version FIRST AMENDMENT TO DEVELOPMENT FUNDING AND ROYALTIES AGREEMENT This First Amendment to Development Funding and Royalties |
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| August 9, 2024 |
Exhibit 10.17 Execution Version FIRST AMENDMENT TO LEASE THIS AMENDMENT is made as of September 30, 2020, by and between The Strafford Office Buildings, having an office at 200 Eagle Road, Suite 118, Wayne, PA 19087 (hereinafter called Landlord), and Palvella Therapeutics LLC, a Delaware limited liability company (hereinafter called Tenant) having an address at 125 Strafford Avenue, Suite 360, Way |
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| August 9, 2024 |
Form of Convertible Promissory Note (previously filed) Exhibit 10.14 Final Form THIS CONVERTIBLE PROMISSORY NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR APPLICABLE STATE SECURITIES LAWS AND THEY MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT OR SUCH |
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| August 9, 2024 |
Exhibit 10.10 INCENTIVE STOCK OPTION AGREEMENT UNDER THE PALVELLA THERAPEUTICS, INC. COMPANY 2019 EQUITY INCENTIVE PLAN THIS INCENTIVE STOCK OPTION AGREEMENT (this “Agreement”) is made between Palvella Therapeutics, Inc. Company, a Delaware corporation (the “Company”) and [] (the “Optionee”). WHEREAS, the Company maintains the Palvella Therapeutics, Inc. Company 2019 Equity Incentive Plan (the “Pl |
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| August 9, 2024 |
Consent of Wesley H. Kaupinen to be named as a director (previously filed) Exhibit 99.2 Consent to be Named as a Director Nominee In connection with the filing by Pieris Pharmaceuticals, Inc. (the “Company”) of the Registration Statement on Form S-4 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and a |
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| August 9, 2024 |
Amendment No. 1 to Palvella Therapeutics, Inc. 2019 Equity Incentive Plan (previously filed) Exhibit 10.12 Execution Version AMENDMENT NO. 1 TO PALVELLA THERAPEUTICS, INC. 2019 EQUITY INCENTIVE PLAN This Amendment No. 1 (this “Amendment”) to the Palvella Therapeutics, Inc. 2019 Equity Incentive Plan (the “Plan”) is effective as of May 22, 2020. All undefined terms used herein shall have the meaning set forth in the Plan. 1. Section 3(a) of the Plan is hereby amended and restated in its en |
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| August 9, 2024 |
Exhibit 10.11 NON-QUALIFIED STOCK OPTION AGREEMENT UNDER THE PALVELLA THERAPEUTICS, INC. COMPANY 2019 EQUITY INCENTIVE PLAN THIS NON-QUALIFIED STOCK OPTION AGREEMENT (this “Agreement”) is made between Palvella Therapeutics, Inc. Company, a Delaware corporation (the “Company”) and [] (the “Optionee”). WHEREAS, the Company maintains the Palvella Therapeutics, Inc. Company 2019 Equity Incentive Plan |
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| August 9, 2024 |
Exhibit 107 Calculation of Filing Fee Table Form S-4 (Form Type) PIERIS PHARMACEUTICALS, INC. |
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| August 9, 2024 |
Exhibit 10.13 PALVELLA THERAPEUTICS, INC. INDEMNIFICATION AGREEMENT INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of May [], 2020 between Palvella Therapeutics, Inc., a Delaware corporation (the “Company”), and [] (“Indemnitee”). RECITALS WHEREAS, highly competent persons have become more reluctant to serve corporations as directors or in ot |
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| August 9, 2024 |
Form of 2024 Convertible Note Purchase Agreement (previously filed) Exhibit 10.15 Execution Version Palvella Therapeutics, Inc. Convertible Note Purchase Agreement This Convertible Note Purchase Agreement (this “Agreement”) is made as of June [•], 2024 (the “Effective Date”) by and among Palvella Therapeutics, Inc., a Delaware corporation (the “Company”), and the purchasers listed on Schedule I attached hereto (each a “Purchaser” and, collectively, the “Purchasers |
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| August 9, 2024 |
Exhibit 10.18 [***]Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. DEVELOPMENT FUNDING AND ROYALTIES AGREEMENT THIS DEVELOPMENT FUNDING AND ROYALTIES AGREEMENT (this “Agreement”) is made and entered into effective as of Decem |
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| August 9, 2024 |
Consent of Todd C. Davis to be named as a director (previously filed) Exhibit 99.3 Consent to be Named as a Director Nominee In connection with the filing by Pieris Pharmaceuticals, Inc. (the “Company”) of the Registration Statement on Form S-4 with the Securities and Exchange Commission under the Securities Act of 1933, as amended (the “Securities Act”), I hereby consent, pursuant to Rule 438 of the Securities Act, to being named in the Registration Statement and a |
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| August 9, 2024 |
Offer Letter, dated July 27, 2020, by and between Jeffrey Martini and Palvella Therapeutics, Inc. Exhibit 10.25 Certain identified information has been excluded from this exhibit in accordance with Regulation S-K Item 601(a)(6) because it would constitute a clearly unwarranted invasion of personal privacy. [***] indicates that information has been redacted. Palvella Therapeutics, Inc. 125 Strafford Avenue, Suite 360 | Wayne, PA 19087 | (484) 253-1460 Relentlessly Serving Patients with Rare Dis |
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| August 9, 2024 |
Offer Letter, dated August 19, 2019, by and between Kathleen Goin and Palvella Therapeutics, Inc. Exhibit 10.26 Certain identified information has been excluded from this exhibit in accordance with Regulation S-K Item 601(a)(6) because it would constitute a clearly unwarranted invasion of personal privacy. [***] indicates that information has been redacted. Palvella Therapeutics, Inc. 125 Strafford Avenue, Suite 360 I Wayne, PA 19087 I (484) 253-1460 Relentlessly Serving Patients with Rare Dis |
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| August 8, 2024 |
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): August 7, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissi |
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| August 8, 2024 |
Certificate of Designation of Series F Preferred Stock Exhibit 3.1 |
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| August 8, 2024 |
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): August 7, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissi |
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| August 8, 2024 |
Certificate of Designation of Series F Preferred Stock Exhibit 3.1 |
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| August 8, 2024 |
Exhibit 10.1 Pieris Pharmaceuticals, Inc. Series F Preferred Stock SUBSCRIPTION AND INVESTMENT REPRESENTATION AGREEMENT THIS AGREEMENT, dated as of August 7, 2024, is by and between Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”), and the undersigned subscriber (the “Subscriber”). In consideration of the mutual promises contained herein, and other good, valuable and adequate con |
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| August 8, 2024 |
Exhibit 10.1 Pieris Pharmaceuticals, Inc. Series F Preferred Stock SUBSCRIPTION AND INVESTMENT REPRESENTATION AGREEMENT THIS AGREEMENT, dated as of August 7, 2024, is by and between Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”), and the undersigned subscriber (the “Subscriber”). In consideration of the mutual promises contained herein, and other good, valuable and adequate con |
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| August 7, 2024 |
Joint Filing Agreement Pursuant to Rule 13d-1 EXHIBIT 1 Joint Filing Agreement Pursuant to Rule 13d-1 This agreement is made pursuant to Rule 13d-l(k)(1) under the Securities Exchange Act of 1934, as amended (the "Act") by and among the parties listed below, each referenced to herein as a "Joint Filer". |
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| August 1, 2024 |
PIRS / Pieris Pharmaceuticals, Inc. / ADAR1 Capital Management, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 720795202 (CUSIP Number) July 24, 2024 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| July 24, 2024 |
Form of Pieris Support Agreement Exhibit 10.3 PUBLIC COMPANY SUPPORT AGREEMENT This Support Agreement (this “Agreement”) is made and entered into as of July 23, 2024, by and among Palvella Therapeutics, Inc. a Delaware corporation (“Merger Partner”), Pieris Pharmaceuticals, Inc., a Nevada corporation (“Public Company”), and the undersigned stockholder (the “Stockholder”) of Public Company. RECITALS WHEREAS, concurrently with or f |
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| July 24, 2024 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among PIERIS PHARMACEUTICALS, INC., POLO MERGER SUB, INC. and PALVELLA THERAPEUTICS, INC. Dated as of July 23, 2024 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 1.1. Effective Time of the Merger 2 1.2. Closing 2 1.3. Effects of the Merger 3 1.4. Directors and Officers of the Surviving Corporation 3 1.5. Public Company Matters 3 ART |
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| July 24, 2024 |
Form of Palvella Support Agreement Exhibit 10.2 Final Form MERGER PARTNER SUPPORT AGREEMENT This Support Agreement (this “Agreement”) is made and entered into as of July 23, 2024, by and among Palvella Therapeutics, Inc. a Delaware corporation (“Merger Partner”), Pieris Pharmaceuticals, Inc., a Nevada corporation (“Public Company”), and the undersigned stockholder (the “Stockholder”) of Merger Partner. RECITALS WHEREAS, concurrentl |
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| July 24, 2024 |
Form of Contingent Value Rights Agreement Exhibit 10.1 Final Form FORM OF CONTINGENT VALUE RIGHTS AGREEMENT by and among PIERIS PHARMACEUTICALS, INC., SHAREHOLDER REPRESENTATIVE SERVICES LLC, as the Holder Representative, and COMPUTERSHARE INC. and COMPUTERSHARE TRUST COMPANY, N.A., acting jointly as Rights Agent Dated as of [●], 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.1 Definitions 1 Section 1.2 Other Definitional P |
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| July 24, 2024 |
Investor Presentation, dated July 24, 2024 Exhibit 99.2 |
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| July 24, 2024 |
Exhibit 10.4 FORM OF LOCK-UP AGREEMENT July 23, 2024 Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 Palvella Therapeutics, Inc. 125 Strafford Ave. Wayne, PA 19087 Ladies and Gentlemen: The undersigned signatory of this lock-up agreement (this “Lock-Up Agreement”) understands that Pieris Pharmaceuticals, Inc., a Nevada corporation (“Public Company”), has entered into |
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| July 24, 2024 |
Exhibit 99.1 July 24, 2024 Palvella Therapeutics and Pieris Pharmaceuticals Announce Definitive Merger Agreement Proposed merger to create a Nasdaq-listed, clinical-stage biopharmaceutical company focused on developing and commercializing novel treatments for serious, rare genetic skin diseases for which there are no FDA-approved therapies Combined company is expected to have approximately $80.5 m |
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| July 24, 2024 |
Exhibit 10.5 Execution Version SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is dated as of July 23, 2024, by and among Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”), and each purchaser identified on Exhibit A hereto and each Convertible Note Purchaser (as defined below) who becomes a party to this Agreement in accordance with Section 6.1 |
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| July 24, 2024 |
Exhibit 10.4 FORM OF LOCK-UP AGREEMENT July 23, 2024 Pieris Pharmaceuticals, Inc. 225 Franklin Street, 26th Floor Boston, MA 02110 Palvella Therapeutics, Inc. 125 Strafford Ave. Wayne, PA 19087 Ladies and Gentlemen: The undersigned signatory of this lock-up agreement (this “Lock-Up Agreement”) understands that Pieris Pharmaceuticals, Inc., a Nevada corporation (“Public Company”), has entered into |
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| July 24, 2024 |
Form of Pieris Support Agreement Exhibit 10.3 PUBLIC COMPANY SUPPORT AGREEMENT This Support Agreement (this “Agreement”) is made and entered into as of July 23, 2024, by and among Palvella Therapeutics, Inc. a Delaware corporation (“Merger Partner”), Pieris Pharmaceuticals, Inc., a Nevada corporation (“Public Company”), and the undersigned stockholder (the “Stockholder”) of Public Company. RECITALS WHEREAS, concurrently with or f |
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| July 24, 2024 |
Investor Presentation, dated July 24, 2024 Exhibit 99.2 |
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| July 24, 2024 |
Exhibit 4.1 THE OFFER AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE TO WHICH THIS CONFIRMATION RELATES OR THE SECURITIES INTO WHICH THIS SECURITY IS EXERCISABLE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED |
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| July 24, 2024 |
Exhibit 10.5 Execution Version SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is dated as of July 23, 2024, by and among Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”), and each purchaser identified on Exhibit A hereto and each Convertible Note Purchaser (as defined below) who becomes a party to this Agreement in accordance with Section 6.1 |
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| July 24, 2024 |
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): July 23, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissio |
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| July 24, 2024 |
Form of Contingent Value Rights Agreement Exhibit 10.1 Final Form FORM OF CONTINGENT VALUE RIGHTS AGREEMENT by and among PIERIS PHARMACEUTICALS, INC., SHAREHOLDER REPRESENTATIVE SERVICES LLC, as the Holder Representative, and COMPUTERSHARE INC. and COMPUTERSHARE TRUST COMPANY, N.A., acting jointly as Rights Agent Dated as of [●], 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.1 Definitions 1 Section 1.2 Other Definitional P |
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| July 24, 2024 |
Form of Registration Rights Agreement Exhibit 10.6 Execution Version REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is dated as of July [•], 2024, by and among Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”), and the several purchasers signatory hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). This Agreement is made pursuant t |
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| July 24, 2024 |
Exhibit 4.1 THE OFFER AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE TO WHICH THIS CONFIRMATION RELATES OR THE SECURITIES INTO WHICH THIS SECURITY IS EXERCISABLE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED |
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| July 24, 2024 |
Exhibit 99.3 |
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| July 24, 2024 |
Form of Registration Rights Agreement Exhibit 10.6 Execution Version REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is dated as of July [•], 2024, by and among Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”), and the several purchasers signatory hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). This Agreement is made pursuant t |
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| July 24, 2024 |
Exhibit 99.1 July 24, 2024 Palvella Therapeutics and Pieris Pharmaceuticals Announce Definitive Merger Agreement Proposed merger to create a Nasdaq-listed, clinical-stage biopharmaceutical company focused on developing and commercializing novel treatments for serious, rare genetic skin diseases for which there are no FDA-approved therapies Combined company is expected to have approximately $80.5 m |
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| July 24, 2024 |
Exhibit 99.3 |
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| July 24, 2024 |
Exhibit 2.1 EXECUTION VERSION AGREEMENT AND PLAN OF MERGER by and among PIERIS PHARMACEUTICALS, INC., POLO MERGER SUB, INC. and PALVELLA THERAPEUTICS, INC. Dated as of July 23, 2024 TABLE OF CONTENTS Page ARTICLE I THE MERGER 2 1.1. Effective Time of the Merger 2 1.2. Closing 2 1.3. Effects of the Merger 3 1.4. Directors and Officers of the Surviving Corporation 3 1.5. Public Company Matters 3 ART |
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| July 24, 2024 |
Form of Palvella Support Agreement Exhibit 10.2 Final Form MERGER PARTNER SUPPORT AGREEMENT This Support Agreement (this “Agreement”) is made and entered into as of July 23, 2024, by and among Palvella Therapeutics, Inc. a Delaware corporation (“Merger Partner”), Pieris Pharmaceuticals, Inc., a Nevada corporation (“Public Company”), and the undersigned stockholder (the “Stockholder”) of Merger Partner. RECITALS WHEREAS, concurrentl |
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| July 24, 2024 |
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): July 23, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissio |
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| July 3, 2024 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events 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 28, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissio |
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| May 17, 2024 |
EX-99.1 2 ex991tosc13g07422pirs051724.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated May 17, 2024 with respect to the Common Stock, $0.001 par value per share, of Pieris Pharmaceuticals, Inc., a Nevada corporation, and any further amendments thereto executed by each and any of the undersigned shall be filed on be |
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| May 17, 2024 |
SC 13G 1 sc13g07422pirs05172024.htm THE SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share |
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| May 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795202 (CUSIP Numb |
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| May 17, 2024 |
EX-99.1 2 ex991tosc13g07422pirs051724.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated May 17, 2024 with respect to the Common Stock, $0.001 par value per share, of Pieris Pharmaceuticals, Inc., a Nevada corporation, and any further amendments thereto executed by each and any of the undersigned shall be filed on be |
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| May 15, 2024 |
NON-EXCLUSIVE ANTICALIN® PLATFORM TECHNOLOGY LICENSE AGREEMENT Exhibit 10.3 NON-EXCLUSIVE ANTICALIN® PLATFORM TECHNOLOGY LICENSE AGREEMENT THIS NON-EXCLUSIVE ANTICALIN PLATFORM TECHNOLOGY LICENSE AGREEMENT (“Agreement”) is made and entered into effective as of February 8, 2018 (the “Effective Date”), by and among PIERIS PHARMACEUTICALS, INC., a Nevada corporation having its principal place of business at 255 State Street, 9th floor, Boston, MA 02109 AND PIERI |
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| May 15, 2024 |
Exhibit 10.2 LICENSE AND COLLABORATION AGREEMENT BY AND AMONG PIERIS PHARMACEUTICALS, INC. AND PIERIS PHARMACEUTICALS GMBH AND SEATTLE GENETICS, INC. [***] = CERTAIN CONFIDENTIAL INFORMATION CONTAINED IN THIS DOCUMENT, MARKED BY BRACKETS, HAS BEEN OMITTED BECAUSE THE INFORMATION (I) IS NOT MATERIAL AND (II) IS THE TYPE THAT THE REGISTRANT TREATS AS PRIVATE OR CONFIDENTIAL. TABLE OF CONTENTS Page 1 |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 9, 2024 |
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): May 7, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commission |
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| April 29, 2024 |
-12-31FY2023 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 18, 2024 |
Pieris Pharmaceuticals Announces 1-for-80 Reverse Stock Split Exhibit 99.1 April 18, 2024 Pieris Pharmaceuticals Announces 1-for-80 Reverse Stock Split BOSTON, MA, April 18, 2024 – Pieris Pharmaceuticals, Inc. (Nasdaq:PIRS) today announced that its Board of Directors has approved a 1-for-80 reverse stock split of the Company’s common stock, par value $0.001, which will be effective at 5:00 pm Eastern Time on April 22, 2024. The Company’s common stock will co |
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| April 18, 2024 |
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): April 18, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissi |
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| April 18, 2024 |
Certificate of Change to Articles of Incorporation of Pieris Pharmaceuticals, Inc. Exhibit 3.1 |
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| March 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 29, 2024 |
Exhibit 21.1 Subsidiaries Entity Jurisdiction of Organization Pieris Pharmaceuticals GmbH Germany Pieris Australia Pty Limited Australia Pieris Pharmaceuticals Securities Corporation Massachusetts |
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| March 29, 2024 |
EXHIBIT 10.62 Pieris Pharmaceuticals, Inc. 225 Franklin Street, Floor 26 Boston, MA 02110 +1-857-250-0363 www.pieris.com December 11, 2023 NOTICE OF EXTENSION NO.1 TO CONSULTING AGREEMENT The Consulting Agreement (“Agreement”), entered into between Pieris Pharmaceuticals, Inc. and Pieris Pharmaceuticals GmbH (collectively, “Pieris”) and Ahmed Mousa located at 755 Boylston Street, Apt. 702, Boston, |
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| March 29, 2024 |
Amendment to the Employment Agreement Exhibit 10.66 Amendment to the Employment Agreement between 1. Pieris AG, Lise-Meitner-Str. 30, 85354 Freising, Germany, represented by the Executive Board - the "Employer"-, and 2. Dr. Shane Olwill, [***] - the "Employee" -, - each individually the "Party" and jointly the "Parties" - The parties agree as follows: §5 Annual Salary § 5 of the current employment agreement read as follows: "1. ,,The |
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| March 29, 2024 |
Exhibit 10.45 Addendum No. 3 to the Rental Agreement dated 16.10./24.10.2018 and Addendum no. 1 dated 21.05.2019 and Addendum no. 2 dated 12./13.02.2020 (re. space in the building Zeppelinstraße 3, 85399 Hallbergmoos) between the Hallbergmoos Grundvermögen GmbH (registered in the Commercial Register of the Local Court of Munich under HRB 220581) Nördliche Münchner Straße 28, 82031 Grünwald represe |
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| March 29, 2024 |
Exhibit 10.65 Employment Agreement between 1. Pieris AG, Lise-Meitner-Str. 30, 85354 Freising, Germany, represented by the Executive Board - the “Employer“ -, and 2. Dr. Shane Olwill, [***] - the “Employee“ -, - each individually the “Party“ and jointly the “Parties“ - § 1 Employment and Duties 1. Employer hereby employs the Employee as Senior Director R & D. The Employee shall be bound to all ins |
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| March 29, 2024 |
Exhibit 10.46 Addendum No. 4 to the Rental Agreement dated 16.10./24.10.2018 and Addendum no. 1 dated 21.05.2019 and Addendum no. 2 dated 12./13.02.2020 and Addendum no. 3 dated 15.05./19.05.2020 (re. space in the building Zeppelinstraße 3, 85399 Hallbergmoos) between the Hallbergmoos Grundvermögen GmbH (registered in the Commercial Register of the Local Court of Munich under HRB 220581) Nördliche |
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| March 29, 2024 |
April 2024 (or earlier) (if 100% achievement) Exhibit 10.67 Shane Olwill Pieris Pharmaceuticals GmbH Hallbergmoos, February 22nd, 2024 Your Compensation Package Dear Shane, Since you are a key contributor to Pieris Pharmaceuticals, Inc. and/or its subsidiaries (“Pieris” or the “Company”) moving forward, we would like to confirm our prior communication about your enhanced compensation package in exchange for your continued service. Your compen |
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| March 29, 2024 |
PIERIS PHARMACEUTICALS, INC. CLAWBACK POLICY Exhibit 97 PIERIS PHARMACEUTICALS, INC. CLAWBACK POLICY I. Introduction The Board of Directors (the “Board”) of Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”) believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-performance compensatio |
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| March 27, 2024 |
Pieris Pharmaceuticals Announces Strategy to Maximize Partnered Milestone and Royalty Potential Exhibit 99.1 March 27, 2024 Pieris Pharmaceuticals Announces Strategy to Maximize Partnered Milestone and Royalty Potential BOSTON, MA, March 27, 2024 – Pieris Pharmaceuticals, Inc. (Nasdaq:PIRS) provided a corporate update today announcing a strategy to maximize its ability to capture the potential milestones from its 4-1BB bispecific Mabcalin® (antibody-Anticalin fusion) protein immuno-oncology |
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| March 27, 2024 |
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): March 27, 2024 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissi |
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| February 14, 2024 |
PIRS / Pieris Pharmaceuticals, Inc. / Aquilo Capital Management, LLC Passive Investment SC 13G/A 1 pirs13gv3.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 6)* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 14, 2024 |
PIRS / Pieris Pharmaceuticals, Inc. / Checkpoint Capital L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the ru |
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| February 14, 2024 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| December 21, 2023 |
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): December 15, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commi |
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| November 14, 2023 |
Exhibit 10.3 Certain confidential portions of this Exhibit were omitted by means of marking such portions with brackets (“[***]”) because the identified confidential portions are (i) not material and (ii) would be competitively harmful if publicly disclosed. AMENDMENT NO. 1 TO THE AMENDED AND RESTATED LICENSE AND COLLABORATION AGREEMENT BY AND AMONG PIERIS PHARMACEUTICALS, INC. AND PIERIS PHARMACE |
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| November 14, 2023 |
Exhibit 10.1 Aufhebungsvertrag zwischen Pieris Pharmaceuticals GmbH, Zeppelinstraße 3, 85399 Hallbergmoos - nachfolgend die „Gesellschaft“ - und Dr. Hitto Kaufmann, [***] -nachfolgend der „Geschäftsführer“ - Separation Agreement between Pieris Pharmaceuticals GmbH, Zeppelinstraße 3, 85399 Hallbergmoos - hereinafter the “Company” - and Dr. Hitto Kaufmann, [***] - hereinafter the “Managing Director“ |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 14, 2023 |
Exhibit 10.2 CONSULTING AGREEMENT This Consulting Agreement (the “Agreement”) by and between Pieris Pharmaceuticals, Inc., a Nevada corporation with offices at 225 Franklin Street, Floor 26 Boston, MA 02110 and Pieris Pharmaceuticals GmbH, a German company with offices at Zeppelinstrasse 3, 85399 Hallbergmoos, Germany (collectively, “Pieris”) and Ahmed Mousa located at [***] (“Advisor”) (hereinaft |
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| August 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2023 (July 17, 2023) PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorpo |
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| August 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Number) JAMES KR |
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| August 10, 2023 |
As filed with the Securities and Exchange Commission on August 10, 2023 S-8 As filed with the Securities and Exchange Commission on August 10, 2023 Registration No. |
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| August 10, 2023 |
Pieris Pharmaceuticals, Inc. 2023 Employee Stock Purchase Plan Exhibit 10.2 PIERIS PHARMACEUTICALS, INC. 2023 EMPLOYEE STOCK PURCHASE PLAN The following constitute the provisions of the 2023 Employee Stock Purchase Plan (the “Plan”) of Pieris Pharmaceuticals, Inc. (the “Company”). 1. Purpose. The purpose of the Plan is to provide Employees of the Company and its Designated Subsidiaries with an opportunity to purchase Common Stock of the Company. It is the int |
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| August 10, 2023 |
Calculation of Registration Fee. Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Pieris Pharmaceuticals, Inc. |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 18, 2023 |
Pieris Pharmaceuticals Provides Strategic Update and Announces Restructuring Exhibit 99.1 July 18, 2023 Pieris Pharmaceuticals Provides Strategic Update and Announces Restructuring BOSTON, MA, July 18, 2023 – Pieris Pharmaceuticals, Inc. (Nasdaq:PIRS), a clinical-stage biotechnology company advancing novel biotherapeutics through its proprietary Anticalin® technology platform for respiratory diseases and cancer, today provided a strategic update following recent events tha |
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| July 18, 2023 |
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): July 18, 2023 (July 17, 2023) PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorpora |
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| July 13, 2023 |
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): July 13, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissio |
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| June 26, 2023 |
Exhibit 10.1 PIERIS PHARMACEUTICALS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN, AS AMENDED (adopted June 23, 2020; amended June 25, 2021, June 22, 2022, and June 21, 2023) 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Pieris Pharmaceuticals, Inc. 2020 Employee, Director and Consultant Equity Incenti |
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| June 26, 2023 |
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 21, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissio |
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| June 26, 2023 |
Pieris Pharmaceutical, Inc. 2023 Employee Stock Purchase Plan. Exhibit 10.2 PIERIS PHARMACEUTICALS, INC. 2023 EMPLOYEE STOCK PURCHASE PLAN The following constitute the provisions of the 2023 Employee Stock Purchase Plan (the “Plan”) of Pieris Pharmaceuticals, Inc. (the “Company”). 1. Purpose. The purpose of the Plan is to provide Employees of the Company and its Designated Subsidiaries with an opportunity to purchase Common Stock of the Company. It is the int |
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| June 21, 2023 |
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 21, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissio |
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| June 21, 2023 |
Exhibit 99.1 June 21, 2023 Pieris Pharmaceuticals Announces AstraZeneca Discontinuation of Phase 2a Trial of Elarekibep (PRS-060/AZD1402) Due to New Non-Clinical Safety Findings From 13-week Toxicology Study BOSTON, MA, June 21, 2023 – Pieris Pharmaceuticals, Inc. (Nasdaq:PIRS), a clinical-stage biotechnology company advancing novel biotherapeutics through its proprietary Anticalin® technology pla |
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| June 12, 2023 |
PIRS / Pieris Pharmaceuticals Inc / Checkpoint Capital L.P. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 720795103 (CUSIP Number) June 1, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| June 8, 2023 |
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 8, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commission |
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| June 8, 2023 |
Investor Presentation, dated June 2023. Exhibit 99.1 |
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| May 22, 2023 |
PIRS / Pieris Pharmaceuticals Inc / BIOTECHNOLOGY VALUE FUND L P - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Number) JAMES KRA |
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| May 22, 2023 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D dated May 22, 2023 (including amendments thereto) with respect to the shares of Common Stock, $0.001 par value per share, of Pieris Pharmaceuticals, Inc. This Jo |
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| May 19, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): May 15, 2023 Pieris Pharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of incorporation) (Commission |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 10, 2023 |
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): May 10, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commission |
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| May 10, 2023 |
Investor Presentation, dated May 2023. Exhibit 99.2 |
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| May 10, 2023 |
Exhibit 99.1 May 10, 2023 PIERIS PHARMACEUTICALS REPORTS FIRST QUARTER 2023 FINANCIAL RESULTS AND BUSINESS UPDATES COMPANY TO HOST AN INVESTOR CONFERENCE CALL TODAY, WEDNESDAY, MAY 10, 2023, AT 8:00 AM EDT ● Enrollment for elarekibep (PRS-060/AZD1402) Phase 2a study for asthma continues to progress with topline clinical data anticipated by mid-2024; successful safety review completed for 10 mg dos |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 31, 2023 |
Exhibit 21.1 Subsidiaries Entity Jurisdiction of Organization Pieris Pharmaceuticals GmbH Germany Pieris Australia Pty Limited Australia Pieris Pharmaceuticals Securities Corporation Massachusetts |
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| March 31, 2023 |
PIERIS PHARMACEUTICALS, INC. AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION POLICY EXHIBIT 10.38 PIERIS PHARMACEUTICALS, INC. AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION POLICY The Board of Directors of Pieris Pharmaceuticals, Inc. (the “Company”) has approved the following Amended and Restated Non-Employee Director Compensation Policy (this “Policy”) which establishes compensation to be paid to non-employee directors of the Company, effective as of March 22, 2023 (“ |
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| March 29, 2023 |
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): March 29, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissi |
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| March 29, 2023 |
Exhibit 99.1 March 29, 2023 PIERIS PHARMACEUTICALS REPORTS FULL-YEAR 2022 FINANCIAL RESULTS AND BUSINESS UPDATES COMPANY TO HOST AN INVESTOR CONFERENCE CALL TODAY, WEDNESDAY, MARCH 29, 2023, AT 8:00 AM EDT ● Continued advancement of pipeline, including two clinical-stage inhaled respiratory programs and additional therapeutic programs for serious diseases ● Elarekibep (PRS-060/AZD1402) Phase 2a st |
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| March 29, 2023 |
Investor Presentation, dated March 2023. Exhibit 99.2 |
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| February 14, 2023 |
SC 13G/A 1 p23-0351sc13ga.htm PIERIS PHARMACEUTICALS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this S |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 9)1 Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Num |
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| February 14, 2023 |
PIRS / Pieris Pharmaceuticals Inc / Aquilo Capital Management, LLC Passive Investment SC 13G/A 1 pirs13gv4.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the |
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| February 10, 2023 |
PIRS / Pieris Pharmaceuticals Inc / ASTRAZENECA PLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design |
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| February 10, 2023 |
PIRS / Pieris Pharmaceuticals Inc / Seagen Inc. - SC 13G/A Passive Investment SC 13G/A 1 d573388dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| January 27, 2023 |
PIRS / Pieris Pharmaceuticals Inc / Soleus Capital Master Fund, L.P. - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 720795103 (CUSIP Number) January 25, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| January 27, 2023 |
EX-99.A EXHIBIT A JOINT FILING AGREEMENT Soleus Capital Master Fund, L.P., a Cayman Islands exempted limited partnership, Soleus Capital, LLC, a Delaware limited liability company, Soleus Capital Group, LLC, a Delaware limited liability company, and Guy Levy, an individual, hereby agree to file jointly the statement on Schedule 13G to which this Joint Filing Agreement is attached, and any amendmen |
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| January 26, 2023 |
PIRS / Pieris Pharmaceuticals Inc / Soleus Capital Master Fund, L.P. - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PIERIS PHARMACEUTICALS, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 720795103 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| January 10, 2023 |
EX-99.1 2 ex462691.htm EXHIBIT 99.1 Exhibit 99.1 PRESS RELEASE PIERIS PHARMACEUTICALS ANNOUNCES $5M MILESTONE FROM SEAGEN FOR INITIATION OF PHASE 1 TRIAL OF CD228 x 4-1BB BISPECIFIC MOLECULE (MABCALIN™) SGN-BB228 (PRS-346) BOSTON, MA, January 10, 2023 - Pieris Pharmaceuticals, Inc. (Nasdaq: PIRS), a clinical-stage biotechnology company advancing novel biotherapeutics through its proprietary Antica |
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| January 10, 2023 |
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): January 10, 2023 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commis |
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| November 4, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): November 4, 2022 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commis |
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| November 4, 2022 |
EX-1.1 2 ex442809.htm EXHIBIT 1.1 Exhibit 1.1 AMENDMENT NO. 1 TO THE OPEN MARKET SALE AGREEMENTSM November 4, 2022 JEFFERIES LLC 520 Madison Avenue New York, New York 10022 Ladies and Gentlemen: This Amendment No. 1 to the Open Market Sale AgreementSM (this “Amendment”) is entered into as of the date first written above by Pieris Pharmaceuticals, Inc., a Nevada corporation (the “Company”), and Jef |
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| November 4, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 4, 2022 |
Up to $75,000,000 Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-258497 PROSPECTUS SUPPLEMENT (To Prospectus dated August 13, 2021) Up to $75,000,000 Common Stock This prospectus supplement is being filed to update, amend and supplement certain information in the sales prospectus of Pieris Pharmaceuticals, Inc. dated August 13, 2021 (including any documents incorporated by reference therein |
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| November 4, 2022 |
Exhibit 10.2 Certain confidential portions of this Exhibit were omitted by means of marking such portions with brackets (?[***]?) because the identified confidential portions (i) are not material and (ii) would be competitively harmful if publicly disclosed. AMENDMENT NO. 5 This Amendment No. 5 (the ?Amendment?) to the License and Collaboration Agreement dated May 2, 2017, as amended, (the ?Agreem |
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| November 4, 2022 |
Exhibit 10.1 Certain confidential portions of this Exhibit were omitted by means of marking such portions with brackets (?[***]?) because the identified confidential portions (i) are not material and (ii) would be competitively harmful if publicly disclosed. Aufhebungsvertrag zwischen Pieris Pharmaceuticals GmbH, Zeppelinstra?e 3, 85399 Hallbergmoos - nachfolgend der ?Arbeitgeber? - und Herrn Dr. |
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| November 2, 2022 |
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): November 2, 2022 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commis |
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| November 2, 2022 |
Exhibit 99.1 PRESS RELEASE PIERIS PHARMACEUTICALS REPORTS THIRD QUARTER 2022 FINANCIAL RESULTS AND PROVIDES CORPORATE UPDATE COMPANY TO HOST AN INVESTOR CONFERENCE CALL ON WEDNESDAY, NOVEMBER 2, 2022 AT 8:00 AM EDT ? Elarekibep (PRS-060/AZD1402) phase 2a study for asthma enrollment continues ? First subject dosed in PRS-220 phase 1 study for idiopathic pulmonary fibrosis (IPF) ? PRS-344/S095012 ph |
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| November 2, 2022 |
Investor Presentation, dated November 2022. Exhibit 99.2 |
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| November 1, 2022 |
Exhibit 99.1 PRESS RELEASE PIERIS PHARMACEUTICALS ANNOUNCES DOSING OF FIRST SUBJECT IN PHASE 1 TRIAL OF INHALED CTGF INHIBITOR PRS-220 BOSTON, MA, November 1, 2022 - Pieris Pharmaceuticals, Inc. (NASDAQ: PIRS), a clinical-stage biotechnology company advancing novel biotherapeutics through its proprietary Anticalin® technology platform for respiratory diseases, cancer, and other indications, today |
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| November 1, 2022 |
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): November 1, 2022 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commis |
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| October 24, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Pieris Pharmaceuticals, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 720795103 (CUSIP Number) October 13, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| September 13, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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): September 13, 2022 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Comm |
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| September 13, 2022 |
PIERIS PHARMACEUTICALS SUPERIOR MEDICINES THROUGH EFFICIENT BIOLOGY CORPORATE PRESENTATION September 2022 Forward-Looking Statements This presentation contains forward-looking statements as that term is defined in Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. |
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| August 4, 2022 |
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): August 4, 2022 PIERIS PHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Nevada 001-37471 30-0784346 (State or other jurisdiction of Incorporation) (Commissi |
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| August 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-37471 PIERIS PHA |
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| August 4, 2022 |
PIERIS PHARMACEUTICALS SUPERIOR MEDICINES THROUGH EFFICIENT BIOLOGY CORPORATE PRESENTATION August 2022 Forward-Looking Statements This presentation contains forward-looking statements as that term is defined in Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. |
