Harmony Biosciences Holdings, Inc. 10-Q

Item 5. Other Information None. 77 Item 6. E xhibits Incorporation by Reference Exhibit Number Description Form or Schedule Exhibit Number Filing Date with SEC SEC File Number 3.1 Amended and Restated Certificate of Incorporation of Harmony Biosciences Holdings, Inc. 8-K 3.1 August 21, 2020 001-39450 3.2 Amended and Restated Bylaws of Harmony Biosciences Holdings, Inc. 8-K 3.2 August 21, 2020 001-39450 4.1 Form of common stock certificate of the Registrant. S-1 4.1 August 6, 2020 333-240122 10.1† Harmony Biosciences Holdings, Inc. 2020 Incentive Award Plan S-8 10.2 August 21, 2020 333-248243 10.2† Form of Option Agreement under Harmony Biosciences Holdings, Inc. 2020 Incentive Award Plan. S-8 10.3 August 21, 2020 333-248243 10.3† Form of Restricted Stock Unit Agreement under Harmony Biosciences Holdings, Inc. 2020 Incentive Award Plan. S-1 10.6 August 11, 2020 333-240122 10.4† Harmony Biosciences Holdings, Inc. 2020 Employee Stock Purchase Plan. S-1 10.7 August 11, 2020 333-240122 10.5† Amended and Restated Employment Agreement, dated August 11, 2020, by and between Harmony Biosciences, LLC and John C. Jacobs. S-1 10.8 August 11, 2020 333-240122 10.6 Form of Indemnification Agreement between Harmony Biosciences, LLC and each director and executive officer. S-1 10.12 August 11, 2020 333-240122 10.7† Harmony Biosciences, LLC Separation Plan. S-1 10.13 August 11, 2020 333-240122 10.8† Harmony Biosciences Holdings, Inc. Amended and Restated 2017 Equity Incentive Plan. S-1 10.3 August 11, 2020 333-240122 10.9*† Harmony Biosciences Holdings, Inc. Non-Employee Director Compensation Program. 31.1* Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2* Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32.1 ‡ Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 32.2 ‡ Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101.INS* XBRL Instance Document 101.SCH* XBRL Taxonomy Extension Schema Document 101.CAL* XBRL Taxonomy Extension Calculation Linkbase Document 101.LAB* XBRL Taxonomy Extension Label Linkbase Document 101.PRE* XBRL Taxonomy Extension Presentation Linkbase Document 101.DEF* XBRL Taxonomy Extension Definition Linkbase Document _________________________ * Filed herewith. ‡ Furnished herewith. † Indicates a management contract or compensatory plan or arrangement. 78 SIGNA TURES 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, thereunto duly authorized. HARMONY BIOSCIENCES HOLDINGS, INC. By: /s/ John C. Jacobs Name: John C. Jacobs Title: Date: President, Chief Executive Officer and Director (principal executive officer) November 12, 2020 By: /s/ Susan L. Drexler Name: Susan L. Drexler Title: Date: Chief Financial Officer (principal financial officer) November 12, 2020 79