InsiderTrades

Form 4 for IMMX Immix Biopharma, Inc.

Accepted 2021-12-20 00:00:00 ET · period of report 2021-12-20 · accession 0001493152-21-032035 · 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
D 2021-12-20 2021-12-20 IMMX Morris Gabriel S CFO, Dir C - Cnv Deriv $0.85 +74.1K 74.1K New +$63.0K
DMI 2021-12-20 2021-12-20 IMMX Morris Gabriel S CFO, Dir C - Cnv Deriv $0.85 +246.7K 246.7K New +$209.7K
D 2021-12-20 2021-12-20 IMMX Morris Gabriel S CFO, Dir P - Purchase $5.00 +2,000 76.1K +3% +$10.0K
DMI 2021-12-20 2021-12-20 IMMX Morris Gabriel S CFO, Dir C - Cnv Deriv — 0 0 New —
D 2021-12-20 2021-12-20 IMMX Morris Gabriel S CFO, Dir C - Cnv Deriv — 0 0 New —

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2021-12-20 C A 74,116 $0.85 74,116 D See footnote — — (F3) Gabriel Morris is the Managing Partner and Sole Member of Alwaysraise LLC ("Alwaysraise") 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 123,527 $0.85 123,527 I See footnote — — (F3) Gabriel Morris is the Managing Partner and Sole Member of Alwaysraise LLC ("Alwaysraise") and in such capacity has the right to vote and dispose of the securities held by such entity.
3 Common Common Stock 2021-12-20 C A 123,176 $0.85 246,703 I — —
4 Common Common Stock 2021-12-20 P A 2,000 $5.00 76,116 D — —
5 Derivative Convertible Note 2021-12-20 C D — $0.00 0 I See footnote $0.85 · — to — 123,527 Common stock (F3) Gabriel Morris is the Managing Partner and Sole Member of Alwaysraise LLC ("Alwaysraise") and in such capacity has the right to vote and dispose of the securities held by such entity. (F2) On March 18, 2021, the Registrant issued Alwaysraise LLC a note in the amount of $100,000 which is payable upon request of the majority holders of like tenure notes on or after March 1, 2023. 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.
6 Derivative Convertible Note 2021-12-20 C D — $0.00 0 I $0.85 · — to — 123,176 Common stock (F4) On April 2, 2021, the Registrant issued Alwaysraise a note in the amount of $100,000 which is payable upon request of the majority holders of like tenure notes on or after March 1, 2023. 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.
7 Derivative Convertible Note 2021-12-20 C D — $0.00 0 D See footnote $0.85 · — to — 74,116 Common stock (F3) Gabriel Morris is the Managing Partner and Sole Member of Alwaysraise LLC ("Alwaysraise") and in such capacity has the right to vote and dispose of the securities held by such entity. (F1) On March 18, 2021, the Registrant issued the Reporting Person a note in the amount of $60,000 which is payable upon request of the majority holders of like tenure notes on or after March 1, 2023. 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.