# EDGAR Filing Document

**Accession Number:** 0001806254
**File Stem:** 0001209191-23-017222
**Filing Date:** 2023-3
**Character Count:** 7288
**Document Hash:** 67075b6abb392cded1a0394465ca8b53
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-017222.hdr.sgml**: 20230308

**ACCESSION NUMBER**: 0001209191-23-017222

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230306

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230308

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Ho Robert
- **CENTRAL INDEX KEY:** 0001806254

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41498
- **FILM NUMBER:** 23716834

**MAIL ADDRESS:**
- **STREET 1:** 360-1616 EASTLAKE AVENUE EAST
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Third Harmonic Bio, Inc.
- **CENTRAL INDEX KEY:** 0001923840
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 834553503
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 1700 MONTGOMERY STREET
- **STREET 2:** SUITE 210
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111
- **BUSINESS PHONE:** 2097272457

**MAIL ADDRESS:**
- **STREET 1:** 1700 MONTGOMERY STREET
- **STREET 2:** SUITE 210
- **CITY:** SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94111

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Ho Robert<br><sub>(Last) (First) (Middle)</sub><br>C/O THIRD HARMONIC BIO, INC.<br>1700 MONTGOMERY STREET, SUITE 210<br><sub>(Street)</sub><br>SAN FRANCISCO, CA 94111<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-03-06 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Third Harmonic Bio, Inc. [ THRD ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Employee Stock Option (right to buy) | $9.22 | 2023-03-06 |  | D<sup>(1)</sup> |  |  | 367955 | <sup>(2)</sup> | 2032-03-24 | Common Stock | 367955 | <sup>(1)</sup> | 0 | D |  |
| Employee Stock Option (right to buy) | $4.20 | 2023-03-06 |  | A<sup>(1)</sup> |  | 367955 |  | <sup>(2)</sup> | 2032-03-24 | Common Stock | 367955 | <sup>(1)</sup> | 367955 | D |  |
| Employee Stock Option (right to buy) | $18.40 | 2023-03-06 |  | D<sup>(1)</sup> |  |  | 95000 | <sup>(3)</sup> | 2032-10-24 | Common Stock | 95000 | <sup>(1)</sup> | 0 | D |  |
| Employee Stock Option (right to buy) | $4.20 | 2023-03-06 |  | A<sup>(1)</sup> |  | 95000 |  | <sup>(3)</sup> | 2032-10-24 | Common Stock | 95000 | <sup>(1)</sup> | 95000 | D |  |
| Employee Stock Option (right to buy) | $4.20 | 2023-03-06 |  | A |  | 136000 |  | <sup>(4)</sup> | 2033-03-05 | Common Stock | 136000 | $0.00 | 136000 | D |  |

---

### Footnotes:

(1) The transaction reported herein reflects a one-time stock option repricing that became effective on March 6, 2023, and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended. There have been no other changes to the terms of these Options.

(2) 25% of the total shares vested on March 7, 2023, and thereafter 6.25% of the total shares underlying the award shall vest in equal quarterly installments until fully vested, subject to the Reporting Person's continued service to the Issuer on each vesting date.

(3) The option vests over a four-year period: 1/48th on November 25, 2022, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date.

(4) The option vests over a four-year period: 1/48th on April 6, 2023, after which 1/48th of the total shares vest monthly, subject to continued service through each vesting date.

**Signature:** /s/ Robert Ho  
**Date:** 2023-03-08

### Remarks:

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**