SCHEDULE: Broadridge Discloses 9.99% Stake in THARIMMUNE

Broadridge Financial Solutions, Inc. has reported a 9.99% beneficial ownership stake in THARIMMUNE, INC., primarily through warrants subject to a control blocker.

Summary

• Broadridge Financial Solutions, Inc. has filed a Schedule 13G disclosing beneficial ownership of 4,187,548 shares of THARIMMUNE, INC. common stock.
• This ownership represents 9.99% of THARIMMUNE's outstanding common stock.
• The shares are issuable upon the exercise of warrants within the next 60 days.
• The warrants are subject to a 9.99% blocker restriction, preventing Broadridge from exercising warrants that would result in ownership exceeding this threshold.
• The percentage of class is calculated based on 37,729,847 shares outstanding as of January 17, 2026, plus the 4,187,548 exercisable warrants.
• Broadridge Financial Solutions, Inc. holds sole voting and dispositive power over these 4,187,548 shares.

Sentiment

Score: 7

Explanation: StockSavvy.ai views this as a moderately positive development, as a significant, passive investment by a reputable financial institution can be seen as a vote of confidence, though the blocker limits potential for active engagement.

Positives

• A significant beneficial ownership stake by a major financial services company like Broadridge Financial Solutions, Inc. could be viewed as a vote of confidence in THARIMMUNE, INC.
• The investment is structured with a 9.99% blocker, indicating a passive investment intent rather than an attempt to influence control, which can reduce uncertainty for existing management and shareholders.

Negatives

• The 9.99% blocker limits Broadridge's ability to increase its stake beyond this threshold, potentially capping future investment from this specific entity.
• The ownership is primarily through warrants, which means the actual common stock has not yet been issued, and the exercise is contingent on Broadridge's decision.

Risks

• The existence of warrants means potential future dilution if Broadridge exercises them, increasing the total number of outstanding shares.
• The 9.99% blocker, while indicating passive intent, also means Broadridge is unlikely to actively intervene in company operations or governance, even if performance falters.

Management Comments

• By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under ?? 240.14a-11.

Industry Context

StockSavvy.ai notes that a significant stake by a financial services giant like Broadridge Financial Solutions, Inc. in a company like THARIMMUNE, INC. often signals a strategic, albeit passive, investment. Broadridge, known for its investor communications and technology solutions, typically invests in companies that align with its broader market insights or potential future partnerships, even if not explicitly stated as such. This type of investment can lend credibility to the issuer within the financial community.

Corporate Governance

Stakeholder Impact

• Shareholders: The disclosure of a significant, passive institutional investor may provide a degree of stability and confidence. However, the potential future exercise of warrants could lead to dilution.
• Management: The 9.99% blocker ensures that Broadridge's investment is passive, reducing pressure on management regarding control or strategic direction from this specific shareholder.

Key Dates

Keywords

THARIMMUNE, Broadridge Financial Solutions, Schedule 13G, Beneficial Ownership, Warrants, Common Stock, SEC Filing, Investment, Equity Stake, 9.99% Blocker