# EDGAR Filing Document

**Accession Number:** 0001861657
**File Stem:** 0001493152-25-017596
**Filing Date:** 2025-10
**Character Count:** 11087
**Document Hash:** f6bdbb49f136904b6aca5e34a88de825
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-25-017596.hdr.sgml**: 20251009

**ACCESSION NUMBER**: 0001493152-25-017596

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20251009

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20251009

**DATE AS OF CHANGE**: 20251009

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Tharimmune, Inc.
- **CENTRAL INDEX KEY:** 0001861657
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 842642541
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-41210
- **FILM NUMBER:** 251385240

**BUSINESS ADDRESS:**
- **STREET 1:** 1200 ROUTE 22 EAST
- **CITY:** BRIDGEWATER
- **STATE:** NJ
- **ZIP:** 08807
- **BUSINESS PHONE:** 302-743-2995

**MAIL ADDRESS:**
- **STREET 1:** 34 SHREWSBURY AVE
- **STREET 2:** SUITE 1C
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Tharimmune, Inc
- **DATE OF NAME CHANGE:** 20230925

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Hillstream BioPharma Inc.
- **DATE OF NAME CHANGE:** 20210511

?xml version='1.0' encoding='ASCII'?

**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 9, 2025**

**THARIMMUNE, INC.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-41210** | **84-2642541** |
| (State or other jurisdiction | (Commission | (I. R. S. Employer |
| of incorporation) | File Number) | Identification No.) |

---

**34 Shrewsbury Ave, Suite 1C**

**Red Bank, NJ, 07701**

(Address of principal executive offices, including zip code)

**(732) 889-3111**

(Registrant's telephone number, including area code)

**Not Applicable** 

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common stock, $0.0001 par value | THAR | The Nasdaq Stock Market LLC |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

**Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.**

At the Special Meeting (as defined below) on October 9, 2025, the stockholders approved an amendment to the Tharimmune, Inc. Amended and Restated 2023 Omnibus Equity Incentive Plan to increase the number of shares of common stock reserved for issuance thereunder to 2,000,000 shares from 792,602 shares.

The foregoing descriptions of the Plan Amendment is not complete and are qualified in their entirety by reference to the full text of the Plan Amendment, a copy of which is filed as Exhibit 10.1 to this Current Report on Form 8-K and is incorporated by reference herein.

**Item 5.07 Submission of Matters to a Vote of Security Holders.**

On October 9, 2025, Tharimmune, Inc. (the "Company") held a special meeting of stockholders (the "Special Meeting"). A total of 3,907,536 shares of the Company's common stock, constituting a quorum, were represented in person or by valid proxies at the Special Meeting. The final results for each of the matters submitted to a vote of stockholders at the Special Meeting, as set forth in the Company's Definitive Proxy Statement, filed with the Securities and Exchange Commission on September 18, 2025, are as follows:

*Proposal 1*. At the Special Meeting, the stockholders approved a proposal to give our board of directors the authority, at its discretion, to file an amendment to our certificate of incorporation, as amended (the "Certificate of Incorporation") to increase the total number of shares of the Common Stock authorized for issuance thereunder from 250,000,000 shares to an amount between 500,000,000 shares and 1,000,000,000 shares with the exact amount of the common share increase to be selected by our board of directors in its discretion and to be effected, if at all, in the sole discretion of our board of directors at any time following stockholder approval of the amendment to our Certificate of Incorporation and before October 9, 2026 without further approval or authorization of our stockholders (the "Authorized Share Increase Proposal"). The result of the votes to approve the Authorized Share Increase Proposal was as follows:

---

| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker**<br> **Non-Votes** | **Broker**<br> **Non-Votes** |
| 3764397 |  | 129427 |  | 13711 |  | 1 |

---

*Proposal 2*. At the Special Meeting, the stockholders approved an amendment to the Tharimmune, Inc. Amended and Restated 2023 Omnibus Equity Incentive Plan to increase the number of shares of common stock reserved for issuance thereunder to 2,000,000 shares from 792,602 shares (the "Plan Amendment"). The result of the votes to approve the Plan Amendment was as follows:

---

| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker**<br> **Non-Votes** | **Broker**<br> **Non-Votes** |
| 2419032 |  | 86170 |  | 3265 |  | 1399069 |

---

*Proposal 3*. At the Special Meeting, the stockholders approved a proposal to issue securities in one or more non-public offerings in accordance with Nasdaq Marketplace Rules 5635(a) and 5635(d) (the "Future Offerings Proposal"). The result of the votes to approve the Future Offerings Proposal was as follows:

---

| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker**<br> **Non-Votes** | **Broker**<br> **Non-Votes** |
| 2419243 |  | 87306 |  | 1918 |  | 1399069 |

---

**Item 9.01 Financial Statements and Exhibits.**

(d) Exhibits.

---

| | |
|:---|:---|
| **Exhibit No.** | **Description** |
| 10.1 | [First Amendment to Tharimmune Inc. Amended and Restated 2023 Omnibus Equity Incentive Plan](ex10-1.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | |
|:---|:---|
| Date: October 9, 2025 | **THARIMMUNE, INC.** |
|  | */s/ Sireesh Appajosyula* |
|  | &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;<br> Sireesh Appajosyula |
|  | Chief Executive Officer |

---

## Exhibit 10.1

**Exhibit 10.1**

**FIRST AMENDMENT**

**TO**

**THARIMMUNE INC.**

**AMENDED AND RESTATED**

**2023 OMNIBUS EQUITY INCENTIVE PLAN**

This FIRST AMENDMENT TO THARIMMUNE, INC. AMENDED AND RESTATED 2023 OMNIBUS EQUITY INCENTIVE PLAN (this "<u>Amendment</u>") of the Tharimmune, Inc. Amended and Restated 2023 Omnibus Equity Incentive Plan (the "<u>Plan</u>") is made as of the 25th day of August, 2025, by the Board of Directors (the "<u>Board</u>") of Tharimmune, Inc., a Delaware corporation (the "<u>Company</u>"), pursuant to Section 12 of the Plan. All terms used by not defined herein shall have the meaning set forth in the Plan.

**<u>RECITALS</u>**

**WHEREAS,** the Board may amend, alter or terminate the Plan pursuant to Section 12 of the Plan, provided that no such action shall materially impair the rights of a Participant under any Award theretofore granted without such Participant's consent (the "<u>Amendment Conditions</u>");

**WHEREAS,** this Amendment satisfies the Amendment Conditions; and

**WHEREAS,** this Amendment is being submitted to the stockholders of the Company (the "<u>Stockholders</u>") having not less than the minimum number of votes that would be necessary to authorize or to take the actions set forth herein and such Stockholders have authorized, ratified, approved, and confirmed this Amendment.

**<u>AGREEMENT</u>**

**NOW, THEREFORE,** the Board hereby amends the Plan as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. <u>Shares Reserved for Issuance Under the Plan</u>. The references to 792,602 shares in Sections 4(a)(i) and 4(c) of the Plan are hereby replaced with 2,000,000.

<u>Miscellaneous</u>.

<u>Amendments</u>. Except as specifically modified herein, the Plan shall remain in full force and effect in accordance with all of the terms and conditions thereof except that the Plan is hereby amended in all other respects, if any, necessary to conform with the intent of the amendments set forth in this Amendment. Upon the effectiveness of this Amendment, each reference in the Plan to "the Plan," "hereunder," "herein," or words of similar import shall mean and be a reference to the Plan as amended by this Amendment.

<u>Severability</u>. Each provision of this Amendment shall be considered severable and if for any provision or provisions herein are determined to be invalid, unenforceable or illegal under any existing or future law, such invalidity, unenforceability or illegality shall not impair the operation of or affect those portions of this Amendment that are valid, enforceable and illegal.

<u>Governing Law</u>. This Amendment shall be governed in accordance with the laws of Delaware, without giving effect to principles of conflicts of law of New Jersey or any other state.

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