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Harmony Biosciences (NASDAQ: HRMY) CSO receives stock options and RSUs

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

Harmony Biosciences Chief Strategy Officer Andrew Serafin reported multiple equity compensation transactions and related tax withholdings. On January 22, 2026, he received a stock option for 42,600 shares of common stock at an exercise price of $36.76 per share and 12,200 restricted stock units (RSUs), both vesting over several years subject to continued service. On January 24 and 25, 2026, previously granted RSUs vested, converting into 2,500 and 2,600 shares of common stock, respectively. At each vesting date, the issuer withheld 1,116 and 1,126 shares at a price of $36.82 per share to cover income tax obligations, leaving Serafin with directly held common shares and remaining unvested RSUs that continue to vest in annual installments.

Positive

  • None.

Negative

  • None.
Insider Serafin Andrew
Role CHIEF STRATEGY OFFICER
Type Security Shares Price Value
Exercise Restricted Stock Units 2,600 $0.00 --
Exercise Common Stock 2,600 $0.00 --
Tax Withholding Common Stock 1,126 $36.82 $41K
Exercise Restricted Stock Units 2,500 $0.00 --
Exercise Common Stock 2,500 $0.00 --
Tax Withholding Common Stock 1,116 $36.82 $41K
Grant/Award Stock Option 42,600 $0.00 --
Grant/Award Restricted Stock Units 12,200 $0.00 --
Holdings After Transaction: Restricted Stock Units — 7,800 shares (Direct); Common Stock — 2,600 shares (Direct); Stock Option — 42,600 shares (Direct)
Footnotes (1)
  1. Shares withheld by the Issuer to satisfy required income tax withholdings pursuant to the vesting of restricted stock units on their scheduled vesting date. The stock option vests with respect to 25% of the underlying shares on January 22, 2027, with the remaining shares vesting ratably on a quarterly basis thereafter until the fourth anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting date. The restricted stock units shall vest in four equal annual installments beginning on January 22, 2027, subject to the Reporting Person's continued service through each applicable vesting date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date. This award of restricted stock units was previously granted on January 24, 2024. The restricted stock units shall vest in four equal annual installments beginning on January 24, 2025, subject to the Reporting Person's continued service through each applicable vesting date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date. This award of restricted stock units was previously granted on January 25, 2025. The restricted stock units shall vest in four equal annual installments beginning on January 25, 2026, subject to the Reporting Person's continued service through each applicable vesting date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date.
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
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*
Serafin Andrew
(Last) (First) (Middle)
C/O HARMONY BIOSCIENCES HOLDINGS, INC.
630 W GERMANTOWN PIKE, SUITE 215
(Street)
PLYMOUTH MEETING PA 19462
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Harmony Biosciences Holdings, Inc. [ HRMY ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
CHIEF STRATEGY OFFICER
3. Date of Earliest Transaction (Month/Day/Year)
01/22/2026
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 01/24/2026 M 2,500 A $0 2,500 D
Common Stock(1) 01/24/2026 F 1,116 D $36.82 1,384 D
Common Stock 01/25/2026 M 2,600 A $0 2,600 D
Common Stock(1) 01/25/2026 F 1,126 D $36.82 1,474 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option $36.76 01/22/2026 A 42,600 (2) 01/22/2036 Common Stock 42,600 $0 42,600 D
Restricted Stock Units (3) 01/22/2026 A 12,200 (3) (3) Common Stock 12,200 $0 12,200 D
Restricted Stock Units(4) (4) 01/24/2026 M 2,500 (4) (4) Common Stock 2,500 $0 5,000 D
Restricted Stock Units(5) (5) 01/25/2026 M 2,600 (5) (5) Common Stock 2,600 $0 7,800 D
Explanation of Responses:
1. Shares withheld by the Issuer to satisfy required income tax withholdings pursuant to the vesting of restricted stock units on their scheduled vesting date.
2. The stock option vests with respect to 25% of the underlying shares on January 22, 2027, with the remaining shares vesting ratably on a quarterly basis thereafter until the fourth anniversary of the grant date, subject to the Reporting Person's continued service through each applicable vesting date.
3. The restricted stock units shall vest in four equal annual installments beginning on January 22, 2027, subject to the Reporting Person's continued service through each applicable vesting date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date.
4. This award of restricted stock units was previously granted on January 24, 2024. The restricted stock units shall vest in four equal annual installments beginning on January 24, 2025, subject to the Reporting Person's continued service through each applicable vesting date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date.
5. This award of restricted stock units was previously granted on January 25, 2025. The restricted stock units shall vest in four equal annual installments beginning on January 25, 2026, subject to the Reporting Person's continued service through each applicable vesting date. Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and has no expiration date.
/s/ Christian Ulrich, Attorney-in-Fact 01/26/2026
** Signature of Reporting Person Date
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.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Harmony Biosciences (HRMY) report for Andrew Serafin?

The filing shows that Chief Strategy Officer Andrew Serafin received a 42,600-share stock option, 12,200 new RSUs, and had previously granted RSUs vest into common stock with some shares withheld to cover taxes.

How many Harmony Biosciences stock options were granted to the CSO in this Form 4?

On January 22, 2026, Andrew Serafin was granted a stock option for 42,600 shares of Harmony Biosciences common stock with an exercise price of $36.76 per share.

What restricted stock unit (RSU) awards did Harmony Biosciences (HRMY) disclose for its CSO?

The filing reports 12,200 RSUs granted on January 22, 2026, plus previously granted RSUs from January 24, 2024 and January 25, 2025 that vest in four equal annual installments, each RSU representing one share of common stock.

Were Harmony Biosciences shares sold by the CSO in the open market?

The reported non-derivative transactions reflect shares issued from vesting RSUs and shares withheld by the issuer to satisfy income tax obligations at $36.82 per share, rather than open-market purchases or sales.

How were taxes handled on the RSU vesting for Harmony Biosciences (HRMY)?

When RSUs vested on January 24 and 25, 2026, the company withheld 1,116 and 1,126 shares of common stock, respectively, at $36.82 per share to cover required income tax withholdings.

What is the vesting schedule for the new Harmony Biosciences stock option and RSUs?

The stock option vests 25% on January 22, 2027, with the balance vesting quarterly until the fourth anniversary of the grant date. The 12,200 RSUs vest in four equal annual installments beginning on January 22, 2027, subject to continued service.