Ng Carey 4
4 · Immix Biopharma, Inc. · Filed Dec 20, 2021
Insider Transaction Report
Form 4
Ng Carey
Director
Transactions
- Conversion
Common Stock
2021-12-20$0.85/sh+1,000,221$850,188→ 1,000,221 total(indirect: See footnote) - Purchase
Common Stock
2021-12-20$5.00/sh+25,000$125,000→ 1,025,221 total(indirect: See footnote) - Conversion
Convertible Note
2021-12-20→ 0 total(indirect: See footnote)Exercise: $0.85→ Common stock (1,000,221 underlying)
Footnotes (2)
- [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.