Carey Ng - Dec 20, 2021 Form 4 Insider Report for Immix Biopharma, Inc. (IMMX)

Role: Director
Signature: /s/ Ilya Rachman as Attorney-In-Fact for Carey Ng
Stock symbol: IMMX
Transactions as of: Dec 20, 2021
Transactions value $: $225,188
Form type: 4
Date filed: 12/20/2021, 03:15 PM
Previous filing: Dec 15, 2021
Next filing: Jul 18, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	IMMX	Common Stock	Conversion of derivative security	$850K	+1M		$0.85	1M	Dec 20, 2021	See footnote	F1
transaction	IMMX	Common Stock	Purchase	$125K	+25K	+2.5%	$5.00	1.03M	Dec 20, 2021	See footnote	F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Underlying Class	Amount	Exercise Price	Ownership	Footnotes
transaction	IMMX	Convertible Note	Conversion of derivative security	-$750K				0	Dec 20, 2021	Common stock	1M	$0.85	See footnote	F1, F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
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.

Content

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.

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.