# EDGAR Filing Document

**Accession Number:** 0001861657
**File Stem:** 0001493152-25-020553
**Filing Date:** 2025-11
**Character Count:** 32339
**Document Hash:** ad53f322ebf73e8355af951580e8fabd
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-25-020553.hdr.sgml**: 20251103

**ACCESSION NUMBER**: 0001493152-25-020553

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20251103

**ITEM INFORMATION**: Entry into a Material Definitive Agreement

**ITEM INFORMATION**: Unregistered Sales of Equity Securities

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20251103

**DATE AS OF CHANGE**: 20251103

**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:** 251442391

**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) **November 3, 2025**

**THARIMMUNE, INC.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-41210** | **84-2642541** |
| (State or other jurisdiction<br> of incorporation) | (Commission<br> File Number) | (I. R. S. Employer<br> 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)

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 1.01. Entry into a Material Definitive Agreement.**

*<u>Securities Purchase Agreements</u>*

On November 3, 2025, Tharimmune, Inc. (the "<u>Company</u>") entered into securities purchase agreements (the "<u>Cash Securities Purchase Agreements</u>") with certain accredited investors (the "<u>Cash Purchasers</u>") pursuant to which the Company agreed to sell and issue to the Cash Purchasers in a private placement offering (the "<u>Cash Offering</u>") an aggregate offering of either shares (the "<u>Cash Shares</u>") of common stock of the Company, par value $0.0001 per share (the "<u>Common Stock</u>") at an offering price of $3.075 per Cash Share (the "<u>Per Share Cash Purchase Price</u>"); and/or pre-funded warrants (the "<u>Cash Pre-Funded Warrants</u>") to purchase shares of the Common Stock (the "<u>Cash Pre-Funded Warrant Shares</u>" and together with Cash Pre-Funded Warrants, the "<u>Cash Securities</u>") at an offering price of the Per Share Cash Purchase Price less $0.0001 per Cash Pre-Funded Warrant. In the Cash Offering, the Cash Purchasers will tender U.S. dollars to the Company as consideration for the Cash Shares and Cash Pre-Funded Warrants.

Each of the Cash Pre-Funded Warrants is exercisable for one share of Common Stock at the remaining exercise price of $0.0001 per Cash Pre-Funded Warrant Share, immediately exercisable by the registered holder, and may be exercised at any time following registration until all of the Cash Pre-Funded Warrants issued in the Cash Offering are exercised in full. Each Purchaser's ability to exercise its Cash Pre-Funded Warrants in exchange for shares of Common Stock is subject to certain beneficial ownership limitations set forth therein.

Additionally, on November 3, 2025, the Company entered into securities purchase agreements (the "<u>Cryptocurrency Securities Purchase Agreements</u>," and together with the Cash Securities Purchase Agreements, the "<u>Securities Purchase Agreements</u>") with certain accredited investors (the "<u>Cryptocurrency Purchasers</u>," and together with the Cash Purchasers, the "<u>Purchasers</u>") pursuant to which the Company agreed to sell and issue to the Cryptocurrency Purchasers in a private placement (the "<u>Cryptocurrency Offering</u>," and together with the Cash Offering, the "<u>Offerings</u>") (i) pre-funded warrants ("<u>Cryptocurrency Pre-Funded Warrants</u>" and, together with the Cash Pre-Funded Warrants, the "<u>Pre-Funded Warrants</u>") to purchase shares of Common Stock ("<u>Cryptocurrency Pre-Funded Warrant Shares</u>" and, together with the Cash Pre-Funded Warrant Shares, the "<u>Pre-Funded Warrant Shares</u>") at an offering price of $3.075 less $0.0001. In the Cryptocurrency Offering, the Cryptocurrency Purchasers will tender Canton Coin ("<u>CC</u>") to the Company as consideration for the Cryptocurrency Pre-Funded Warrants.

The exercise of the Cryptocurrency Pre-Funded Warrants into Cryptocurrency Pre-Funded Warrant Shares is subject to shareholder approval ("<u>Shareholder Approval</u>") and such warrants will not be exercisable for Common Stock until such Shareholder Approval is received. The Company will hold a special meeting of shareholders to obtain Shareholder Approval at the earliest practicable date after the date hereof for the purpose of obtaining Shareholder Approval (such meeting, the "<u>Shareholder Approval Meeting</u>"), with the recommendation of the Company's Board of Directors that such proposal be approved If Shareholder Approval is not obtained at the Shareholder Approval Meeting, the Company shall cause an additional shareholder meeting to be held within ninety (90) days of the date of such Shareholders Approval Meeting (the "<u>Extended Shareholder Approval Period</u>"). If Shareholder Approval is not obtained within the Extended Shareholder Approval Period, then the Company will be required to convene additional shareholder meetings every ninety (90) days thereafter until Shareholder Approval is obtained.

Each of the Cryptocurrency Pre-Funded Warrants is exercisable for one share of Common Stock at the exercise price of $0.0001 per Cryptocurrency Pre-Funded Warrant Share, immediately exercisable following Shareholder Approval (the "<u>Effective Date</u>"), and may be exercised at any time on or after the Effective Date until all of the Cryptocurrency Pre-Funded Warrants issued in the Offerings are exercised in full. Each Cryptocurrency Purchaser's ability to exercise its Cryptocurrency Pre-Funded Warrants in exchange for shares of Common Stock is subject to certain beneficial ownership limitations set forth therein. If Shareholder Approval is not obtained by May 13, 2026, the Company will, subject to applicable law, promptly return to the Cryptocurrency Purchaser the CCs originally contributed in exchange for the Pre-Funded Warrants, the Pre-Funded Warrants will terminate and become void, and if applicable law prevents full transfer the Company will transfer the maximum permitted amount and the remainder after it may lawfully do so under applicable law.

The Common Stock, the Pre-Funded Warrants, and the Pre-Funded Warrant Shares are being offered in reliance upon the exemption from the registration requirement of the Securities Act of 1933, as amended (the "<u>Securities Act</u>"), pursuant to Section 4(a)(2) thereof and/or Rule 506(b) of Regulation D promulgated thereunder, and applicable state securities laws. The issuance of the Common Stock, the Pre-Funded Warrants, and the Pre-Funded Warrant Shares have not been registered under the Securities Act and such securities may not be offered or sold in the United States absent registration or an exemption from registration under the Securities Act and any applicable state securities laws.

The closing of the Offerings is expected to occur on or about November 6, 2025, subject to the satisfaction of customary closing conditions. The following amounts from the proceeds of the Offerings will be allocated for use of the Company's continued historical business operations, including existing management's compensation: (i) all cash of the Company from immediately preceding the closing up to $6 million and (ii) $6 million from the proceeds of closing. The balance of the offering proceeds will be used to pay transaction expenses and to acquire CC and implement and execute a CC treasury strategy.

The Securities Purchase Agreements contain customary representations, warranties and agreements by the Company, customary conditions to closing, indemnification obligations of the Company, other obligations of the parties and termination provisions. Additionally, pursuant to the Purchase Agreements, the Company agreed to use commercially reasonable efforts to file a registration statement with the U.S. Securities and Exchange Commission, within 30 days of the closing of the Offering registering the resale of the Common Stock sold in the Offering, the Pre-Funded Warrants, and the Pre-Funded Warrant Shares, and certain securities to be issued to the Company's strategic advisor and Placement Agent (as defined below).

Each of the Crypto Currency Purchasers have agreed to not sell, transfer, pledge, hedge, or otherwise dispose of any Crypto Currency Prefunded Warrants until Shareholder Approval has been obtained, and each of the Cash Purchasers and Crypto Purchasers have agreed to not to sell, transfer, pledge, hedge, or otherwise dispose of any applicable Common Stock and Prefunded Shares until the resale registration statement is declared effective (the "<u>Registration Date</u>"); provided that, in each case, such restrictions shall automatically terminate (i) with respect to one-third of the of the Common Stock and the shares of the Pre-Funded Warrants purchased in the Offerings (the "<u>Acquired Securities</u>") upon the Registration Date; (ii) with respect to an additional one-third upon the 90th day following the Registration Date; and (iii) with respect to the remaining Acquired Securities upon the 180th day following the Registration Date.

In connection with the transaction, Clear Street LLC acted as placement agent (the "<u>Placement Agent</u>") for the offer and sale of the Securities.

***<u>Strategic Advisor Agreement</u>***

Contemporaneously with the sale of the Securities under the Subscription Agreement, the Company will issue to certain strategic advisors (the "<u>Strategic Advisors</u>", and the Strategic Advisor that is party to the Strategic Advisor Agreement (as defined below) the "<u>Lead Strategic Advisor</u>") warrants to purchase shares of Common Stock (the "<u>Strategic Advisor Warrants</u>") equal to 5.00% of the aggregate number of shares of Common Stock of the Company on a fully diluted basis (including all outstanding shares of Common Stock, and shares of Common Stock issuable pursuant to outstanding options, warrants and other convertible securities) sold in such offering at an exercise price of $0.001, pursuant to a Strategic Advisor Agreement between the Company and the Lead Strategic Advisor, and the shares of Common Stock issuable upon exercise of the Strategic Advisor Warrants are referred to therein as the "<u>Strategic Advisor Warrant Shares</u>". The Strategic Advisor Warrants are subject to vesting, and will first become vested and exercisable on the later of (i) the effectiveness of a registration statement registering the issuance of the Strategic Advisor Warrant Shares or (ii) the effective date of the Shareholder Approval. The Strategic Advisor Warrants are not transferable. Each Strategic Advisor agrees not to sell, transfer, pledge, hedge, or otherwise dispose of any Common Stock issued upon the exercise of the Strategic Advisory Warrants for a period of one hundred eighty (180) days after the closing date of the Offerings, except that the Strategic Advisors may each transfer such Common Stock without regard to such lock-up period (i) to its respective affiliates that agree in writing to be bound by the remainder of such lock-up period, or (ii) with the Company's prior written consent.

The Strategic Advisory Warrants are being offered in reliance upon the exemption from the registration requirement of the Securities Act, pursuant to Section 4(a)(2) thereof and/or Rule 506(b) of Regulation D promulgated thereunder, and applicable state securities laws. The issuance of the Common Stock, the Strategic Advisory Warrants have not been registered under the Securities Act and such securities may not be offered or sold in the United States absent registration or an exemption from registration under the Securities Act and any applicable state securities laws.

***Risk Factors***

In relation to the Company's implementation of a CC treasury strategy, certain factors may have a material adverse effect on the business, financial condition and results of operations of the Company and your proposed investment in the Company. The risks and uncertainties described below are not the only ones that the Company faces. Additional risks that the Company are unaware of, or that the Company currently believes are not material, may also become important factors that materially adversely affect the Company. If any of the risk factors discussed in the Company's SEC filings (the "**SEC Documents**") or any of the following risks actually occur, the business, financial condition, results of operation, and future prospects of the Company could be adversely affected, the trading price of the Common Stock could decline, and you could lose all or part of your investment.

*Risks Related to the Company's Business and CC Strategy and Holdings*

● The Company's financial results and the market price of the Common Stock may be affected by the prices of CC.

● Investing in CC will expose the Company to certain risks associated with CC, such as price volatility, limited liquidity and trading volumes, relative anonymity, potential susceptibility to market abuse and manipulation, theft, compliance and internal control failures at exchanges and other risks inherent in its electronic, virtual form and decentralized network.

● Company will have broad discretion in how it executes its CC strategy, including the timing of purchases and sale of CC and CC-related products. The Company may not execute its strategy effectively, which could affect its results of operations and cause its stock price to decline.

● A significant decrease in the market value of the Company's CC holdings could adversely affect its ability to satisfy its financial obligations under debt financings.

● Unrealized fair value gains on its CC holdings could cause the Company to become subject to the corporate alternative minimum tax under the Inflation Reduction Act of 2022.

● Future developments regarding the treatment of crypto assets for U.S. and foreign tax purposes could adversely impact the Company's business. CC and other digital assets are novel assets, and are subject to significant legal, commercial, regulatory and technical uncertainty.

● While the Company intends the transactions contemplated by this Subscription Agreement, together with the Other Subscription Agreements, to qualify as a tax-deferred exchange pursuant to Section 351 of the Code (the "Intended Tax Treatment"), because of the lack of authority from the Internal Revenue Service related to the treatment of CC and other cryptocurrencies for U.S. federal income tax purposes and because qualification as a Section 351 transaction requires satisfying various conditions, including the "control" test, which will depend on specific facts and circumstances of the transactions contemplated by this Subscription Agreement and the Other Subscription Agreements and could be affected by events or actions that occur after completion of such transactions, no assurances can be provided that the transactions contemplated by this Subscription Agreement, together with the other Subscription Agreements, qualify for the Intended Tax Treatment.

● CC is a highly volatile asset, and fluctuations in the price of CC are likely to influence the Company's financial results and the market price of the Common Stock.

● CC and other digital assets are novel assets, and are subject to significant legal, commercial, regulatory and technical uncertainty.

● The availability of spot exchange-traded products for other digital assets may adversely affect the market price of its listed securities.

● The Company's CC strategy will subject it to enhanced regulatory oversight.

● CC trading venues may experience greater fraud, security failures, or regulatory or operational problems than trading venues for more established asset classes.

● The concentration of CC holdings may enhance the risks inherent in the Company's CC strategy.

● The Company's CC holdings will be less liquid than existing cash and cash equivalents and may not be able to serve as a source of liquidity for it to the same extent as cash and cash equivalents.

● If the Company or its third-party service providers experience a security breach or cyber-attack and unauthorized parties obtain access to its CC assets, the Company may lose some or all of its CC assets and its financial condition and results of operations could be materially adversely affected.

● The Company will face risks relating to the custody of its CC, including the loss or destruction of private keys required to access its CC and cyberattacks or other data loss relating to its CC.

● Regulatory changes reclassifying CC as a security could lead to the Company's classification as an "investment company" under the ICA and could adversely affect the market price of CC and the market price of the Company's listed securities and could require the Company to sell a substantial majority of its CC, which could further affect the market price of CC.

● The Company is not subject to legal and regulatory obligations that apply to investment companies such as mutual funds and exchange-traded funds, or to obligations applicable to investment advisers.

● The Company's CC strategy exposes it to risk of non-performance by counterparties.

*Risks Related to the Transaction* 

● The Company intends to use the net proceeds from this offering to purchase CC, the price of which has been, and will likely continue to be, highly volatile.

● The Company will have broad discretion in the use of the net proceeds from this offering and investors will not have the opportunity as of this process to assess whether the net proceeds are being used in a manner of which you approve. The Company intends to use a portion of the proceeds from this offering for transaction costs and for the implementation of the CC tokens treasury operation and ongoing advisory services for the treasury operation.

**Item 3.02. Unregistered Sales of Equity Securities.**

The information under Item 1.01 of this Current Report on Form 8-K related to the Shares, the Pre-Funded Warrants, the Pre-Funded Warrant Shares, the Advisor Warrants, and the Advisor Warrant Shares is incorporated herein by reference.

**Item 8.01. Other Events.** 

On November 3, 2025, the Company issued a press release announcing the Offering. The press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and incorporated into this Item 8.01 by reference.

**Item 9.01. Financial Statements and Exhibits.**

(d) Exhibits*.*

---

| | |
|:---|:---|
| **Exhibit<br> Number** | **Description** |
| 99.1 | [Press Release, dated November 3, 2025](ex99-1.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.

---

| | | |
|:---|:---|:---|
|  | **THARIMMUNE, INC.** | **THARIMMUNE, INC.** |
| Date: November 3, 2025 | By: | */s/ Sireesh Appajosyula* |
|  |  | Sireesh Appajosyula |
|  |  | Chief Executive Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

**Tharimmune, Inc. Announces Private Placement of Approximately $540 Million Led by DRW and Liberty City Ventures to Establish Canton Coin Treasury Strategy**

● *Other Participants Include ARK Invest, Bitwave, Broadridge, Clear Street, Copper, Digital Asset, Feynman Point Asset Management, Five North, Kaiko, Kenetic, Kraken, LendOS, Lukka, Nima Capital, MPCH, Obsidian Software, Polychain Capital, Proof Group, SBI Group, The Tie, Tradeweb Markets, and 7RIDGE* 

 **  

● *Canton Foundation, Governing Body Overseeing the Canton Network, Participates in the Transaction* 

 **  

● *Company Will Offer Investors Diversified Value Stream Via Next-Gen DAT Strategy Aligned with Differentiated Vehicle Designed Specifically for Institutional Blockchain Adoption* 

NEW YORK, November 3, 2025 /PRNewswire/ - Tharimmune, Inc. (NASDAQ: THAR) ("Tharimmune" or the "Company") today announced that it has entered into subscription agreements with certain institutional and accredited investors in a private placement offering (the "Offering") for the purchase and sale of shares of common stock (or par value pre-funded warrants in lieu thereof) at a price of $3.075 per share, for expected aggregate gross proceeds of approximately $540 million, before deducting placement agent fees and other offering expenses.

DRW and Liberty City Ventures acted as the lead investors, with participation by many prominent investors including ARK Invest, Bitwave, Broadridge, Clear Street, Copper, Digital Asset, Feynman Point Asset Management, Five North, Kaiko, Kenetic, Kraken, LendOS, Lukka, Nima Capital, MPCH, Obsidian Software, Polychain Capital, Proof Group, SBI Group, The Tie, Tradeweb Markets, and 7RIDGE. The Canton Foundation, the governing body overseeing the Canton Network, also participated in the Offering. Tharimmune is the first and only publicly traded company supported by the Canton Foundation.

The closing of the Offering is expected to occur on or about November 6, 2025, subject to the satisfaction of customary closing conditions. The Company intends to use the net proceeds of the offering to acquire Canton Coin, a utility token used to support interoperability and settlement across the Canton Network ("CC"), as well as for working capital and general corporate purposes. The Company intends to operate as a Super Validator and run additional Validators on the Canton Network as a mechanism to obtain additional CC tokens.

The strategy reflects Tharimmune's conviction that Canton's blockchain technology is reshaping financial infrastructure by introducing programmability, privacy, and interoperability at scale. Unlike other digital asset treasuries focused solely on token acquisition, upon the closing of the Offering, the Company intends to execute a diverse strategy that, along with CC acquisition via capital markets activities, includes generation of CC rewards by applying to be a Super Validator and investing in the development of applications on the Canton Network that drive institutional utility, scalability and adoption across capital markets.

The Canton Network is transforming the future of global finance, connecting some of the world's most trusted institutions on a single, secure, and interoperable blockchain. With trillions in assets on the chain and the support of leading institutions such as Broadridge, Goldman Sachs, Tradeweb Markets, DTCC, DRW, and BNP Paribas, the Canton Network delivers real-world performance, privacy, and atomic settlements.

Participants note the potential of the highly differentiated Canton Network:

● "Canton's architecture represents a breakthrough in enabling institutional-grade privacy and interoperability in a blockchain network," said Don Wilson, Founder and CEO of DRW. "As we look toward a future with complete tokenization and digitization of financial markets, we are excited to support Tharimmune in implementing this next-gen DAT strategy. The unique coalition of investors and market participants assembled for this transaction reflects a strong conviction in the accelerated use of blockchain technology to drive efficiency, transparency, and resiliency of global markets."

● "Our founding mission at Liberty City Ventures is to help create a safer, more efficient world by getting all global assets on chain," said Emil Woods, Managing Partner at Liberty City Ventures. "Canton is the only scaled blockchain network that fulfills the institutional requirements since the birth of the space."

● "We partnered with Lennar to build Novaprime in order to reinvent the mortgage industry by combining artificial intelligence and blockchain technology. We chose to build on Canton as it was the only L1 that met the needs of a highly regulated industry, and which had thoughtfully solved for privacy from its origins. We are proud to have been a Super Validator on the network since Day 1, and we are excited to participate in this transaction and the next era of growth in the Canton ecosystem." - Suna Said, CEO of Nima Capital and Co-Founder of Novaprime.

The existing management team of Tharimmune will continue to oversee operations of its clinical-stage biotech business. To support the objectives of the transaction, Mark Wendland has been appointed Chief Executive Officer overseeing the digital asset treasury strategy, and Mark Toomey has been appointed President where he will work with Mr. Wendland on the same objectives. Both bring extensive experience in operational leadership and global financial markets.

"After decades leading treasury and operations in traditional finance, I'm excited to drive this next-generation institutional treasury strategy forward," said Wendland. "Our goal is to bridge best practices of financial discipline with the innovation potential of blockchain technology, creating a new DAT model that grows value through both asset performance and network utility."

As of September 30, 2025, Canton Network saw more than 500,000 daily transactions <sup>1</sup>, demonstrating the true scalability of this unique network.

**Advisors**

Clear Street acted as sole placement agent and a financial advisor in connection with the Offering.

President Street Global served as a financial advisor in connection with the Offering.

Lucosky Brookman LLP and Sheppard Mullin Richter & Hampton LLP served as counsel to Tharimmune.

Paul Hastings LLP served as counsel to Clear Street.

Reed Smith LLP served as counsel to DRW.

**Securities Disclaimers**

The offer and sale of the securities in the Offering, including the shares of common stock underlying the pre-funded warrants, was made to institutional accredited investors in a transaction not involving a public offering pursuant to Section 4(a)(2) of the Securities Act of 1933, as amended (the "Securities Act") and have not been registered under the Securities Act or applicable state securities laws. Accordingly, the securities issued in the Offering and shares of common stock underlying the pre-funded warrants may not be offered or sold in the United States except pursuant to an effective registration statement with the Securities and Exchange Commission ("SEC") or an applicable exemption from the registration requirements of the Securities Act and such other applicable state securities laws.

This press release shall not constitute an offer to sell or a solicitation of an offer to buy any of the securities described herein, nor shall there be any sale of these securities in any state or other jurisdiction in which such offer, solicitation, or sale would be unlawful prior to the registration or qualification under the securities laws of any such state or other jurisdiction.

The private placement was conducted in accordance with applicable Nasdaq rules.

*The information provided in this press release is intended for informational purposes only and does not constitute investment advice, endorsement, analysis, or recommendations with respect to any financial instruments, investments, or issuers. This press release does not take into account the investment objectives, financial situation, or specific needs of any particular person and each individual is urged to consult their legal and financial advisors before making any investment decisions.*

<sup>1</sup> Copper Research, Issue #53 October 1, 2025

**Forward-Looking Statements**

This press release contains "forward-looking statements" as defined by the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act, and Section 21E of the Securities Exchange Act of 1934, as amended. This press release also includes express and implied forward-looking statements regarding the Company's current expectations, estimates, opinions and beliefs that are not historical facts. Such forward-looking statements may be identified by words such as "believes," "expects," "endeavors," "anticipates," "intends," "plans," "estimates," "projects," "should" and "objective" and the negative and variations of such words and similar words. These statements are made on the basis of current knowledge and, by their nature, involve numerous assumptions and uncertainties. Nothing set forth herein should be regarded as a representation, warranty or prediction that we will achieve or are likely to achieve any particular future result. Actual results may differ materially from those indicated in the forward-looking statements because the realization of those results is subject to many risks and uncertainties, including the risk that we may fail to realize the anticipated benefits of the private placement, including the ability of the Company to execute on its digital asset treasury strategy, as well as risks related to economic conditions, fluctuations in the market price of CC, and the evolving regulatory environment, as well as other factors. Forward-looking statements contained in this press release are made as of the date of this press release, and the Company undertakes no duty to update such information except as required under applicable law.

**About Tharimmune**

Tharimmune, Inc. (NASDAQ: THAR) is a diversified holding company advancing the future of digital and financial infrastructure. In addition to developing a portfolio of therapeutic candidates for inflammation and immunology, the Company's mission is to leverage blockchain and advanced technologies to deliver institutional-grade solutions across capital markets. For more information, visit: www.tharimmune.com.

**Contacts**

Media:

Gasthalter & Co.

(212) 257-4170

canton@gasthalter.com

Investors:<br> ir@tharimmune.com

**Twitter/X:** @TharimmuneInc

**Website:** https://tharimmune.com/

# # #