Form 4 for IMMX Immix Biopharma, Inc.

Accepted 2021-12-20 00:00:00 ET · period of report 2021-12-20 · accession 0001493152-21-032034 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
DI	2021-12-20	2021-12-20	IMMX	Ng Carey	Dir	P - Purchase	$5.00	+25.0K	1.03M	+2%	+$125.0K
DI	2021-12-20	2021-12-20	IMMX	Ng Carey	Dir	C - Cnv Deriv	$0.85	+1.00M	1.00M	New	+$850.2K
DI	2021-12-20	2021-12-20	IMMX	Ng Carey	Dir	C - Cnv Deriv	—	0	0	New	—

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-12-20	P	A	25,000	$5.00	1,025,221	I See footnote	—	—	(F1) Carey Ng is the Managing Director of Mesa Verde Venture Partners III, LP and in such capacity has the right to vote and dispose of the securities held by such entity.
2	Common	Common Stock	2021-12-20	C	A	1,000,221	$0.85	1,000,221	I See footnote	—	—	(F1) Carey Ng is the Managing Director of Mesa Verde Venture Partners III, LP and in such capacity has the right to vote and dispose of the securities held by such entity.
3	Derivative	Convertible Note	2021-12-20	C	D	—	$0.00	0	I See footnote	$0.85 · — to —	1,000,221 Common stock	(F1) Carey Ng is the Managing Director of Mesa Verde Venture Partners III, LP and in such capacity has the right to vote and dispose of the securities held by such entity. (F2) On October 30, 2019, the Registrant issued Mesa Verde Venture Partners III, LP a note in the amount of $750,000 which is payable upon request of the majority holders of like tenure notes on or after October 30, 2021. Pursuant to the terms of the note, because the Registrant sold equity securities in its initial public offering resulting in proceeds of at least $10 million, the note automatically converted into shares of the Registrant's common stock.