Immix Biopharma, Inc. — Director's Dealing 2021

Dec 20, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Immix Biopharma, Inc. (IMMX)
CIK: 0001873835
Period of Report: 2021-12-20

Reporting Person: Morris Gabriel S (Director, Chief Financial Officer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-12-20	Common Stock	C	74116	$0.85	Acquired	74116	Direct
2021-12-20	Common Stock	C	123527	$0.85	Acquired	123527	Indirect
2021-12-20	Common Stock	C	123176	$0.85	Acquired	246703	Indirect
2021-12-20	Common Stock	P	2000	$5.00	Acquired	76116	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-12-20	Convertible Note	$0.85	C		Disposed		Common stock (74116)	Direct
2021-12-20	Convertible Note	$0.85	C		Disposed		Common stock (123527)	Indirect
2021-12-20	Convertible Note	$0.85	C		Disposed		Common stock (123176)	Indirect

Footnotes

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.

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.

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.

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.