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.

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 beneficially owned shares are issuable upon the exercise of warrants within the next sixty days.
• The warrants are subject to a 9.99% blocker included in a Subscription Agreement, preventing Broadridge from exercising warrants that would result in ownership exceeding this threshold.
• The total potential shares from warrants held by Broadridge are 13,070,680, but only 4,187,548 are currently counted towards beneficial ownership due to the blocker.
• The percentage calculation is based on 37,729,847 shares of THARIMMUNE Common Stock outstanding as of January 17, 2026, plus the 4,187,548 shares issuable from warrants.

Sentiment

Score: 7

Explanation: StockSavvy.ai views this as a moderately positive development for THARIMMUNE, INC., as it signifies a substantial institutional investment from a reputable financial services firm, Broadridge Financial Solutions, Inc.

Positives

• A major financial services company, Broadridge Financial Solutions, Inc., has taken a significant stake in THARIMMUNE, INC., potentially signaling institutional confidence in the company's future.

Future Outlook

NA

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 Schedule 13G filing indicates a passive investment by a significant shareholder. Broadridge Financial Solutions, a major provider of investor communications and technology solutions, taking a near-10% stake in THARIMMUNE, INC. could be interpreted by the market as a vote of confidence, especially given Broadridge's deep understanding of financial markets and corporate governance. This type of institutional investment can sometimes precede increased analyst coverage or further institutional interest in the issuer.

Stakeholder Impact

• Shareholders: The entry of a significant institutional investor like Broadridge could enhance market confidence and potentially attract further institutional interest, which may positively impact share price stability and liquidity.
• Company (THARIMMUNE, INC.): The existence of warrants, if exercised, represents a potential future capital inflow, which could support operations or strategic initiatives.

Key Dates

Recommendation

While the disclosure of a significant institutional stake by Broadridge Financial Solutions, Inc. is a positive signal, this Schedule 13G filing primarily indicates a passive investment and does not provide new operational or financial performance data for THARIMMUNE, INC. Investors should hold and await further fundamental updates from THARIMMUNE, INC. to assess the long-term implications of this ownership and the company's underlying business performance.

Keywords

THARIMMUNE, Broadridge Financial Solutions, Schedule 13G, beneficial ownership, common stock, warrants, institutional investment, equity stake, SEC filing, 432705309