Form 4 for IMMX Immix Biopharma, Inc.

Accepted 2021-12-20 00:00:00 ET · period of report 2021-12-20 · accession 0001493152-21-032039 · 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	Hsu Jason	Dir	C - Cnv Deriv	$0.85	+3.92M	3.92M	New	+$3.33M
DI	2021-12-20	2021-12-20	IMMX	Hsu Jason	Dir	P - Purchase	$5.00	+50.0K	50.0K	New	+$250.0K
DI	2021-12-20	2021-12-20	IMMX	Hsu Jason	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	C	A	3,915,913	$0.85	3,915,913	I See Footnote	—	—	(F1) Jason Hsu is the Sole Member of VERITAS LIBERABIT VOS, LLC ("VL") 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	P	A	50,000	$5.00	50,000	I See Footnote	—	—	(F2) Jason Hsu is the Sole Member of Signature Collection Properties, LLC 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 —	3,915,913 Common stock	(F1) Jason Hsu is the Sole Member of VERITAS LIBERABIT VOS, LLC ("VL") and in such capacity has the right to vote and dispose of the securities held by such entity. (F3) On September 1, 2016, the Registrant issued VL a note in the amount of $3 million which is payable upon request of the majority holders of like tenure notes on or after March 31, 2022. 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.