IMMX

SEC source: 0001493152-24-023287 · ownership.xml · nonDerivative · entry 1

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,136,259

SEC source: 0001493152-24-022654 · ownership.xml · nonDerivative · entry 1

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,334

SEC source: 0001493152-24-022653 · ownership.xml · nonDerivative · entry 1

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,133,659

SEC source: 0001493152-24-020776 · ownership.xml · nonDerivative · entry 3

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 24,141

F1 · price: Received in exchange for shares of common stock of Nexcella, Inc. which were held by the Reporting Person, which entity was merged with and into the Issuer on May 20, 2024, with the Issuer continuing as the surviving entity.

F3 · ownership.nature: Gabriel Morris is the Managing Partner of Alwaysraise Ventures I Investments, LLC ("Alwaysraise Ventures"), the general partner of Alwaysraise Ventures I, LP. ("AVILP") and in such capacity has the right to vote and dispose of the securities held by such entity. Mr. Morris disclaims beneficial ownership of the securities reported herein as held by AVILP, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-020776 · ownership.xml · nonDerivative · entry 2

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 270,844

F1 · price: Received in exchange for shares of common stock of Nexcella, Inc. which were held by the Reporting Person, which entity was merged with and into the Issuer on May 20, 2024, with the Issuer continuing as the surviving entity.

F2 · ownership.nature: 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. Mr. Morris disclaims beneficial ownership of the securities reported herein as held by Alwaysraise, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-24-020776 · ownership.xml · nonDerivative · entry 1

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,034

F1 · price: Received in exchange for shares of common stock of Nexcella, Inc. which were held by the Reporting Person, which entity was merged with and into the Issuer on May 20, 2024, with the Issuer continuing as the surviving entity.

SEC source: 0001493152-24-020777 · ownership.xml · nonDerivative · entry 2

Adams Helen C. · CIK 0001488486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 174,754

F3 · price: Received in exchange for shares of common stock of Nexcella, Inc. which were held by the Reporting Person, which entity was merged with and into the Issuer on May 20, 2024, with the Issuer continuing as the surviving entity.

SEC source: 0001493152-24-020779 · ownership.xml · nonDerivative · entry 2

BUCHAN JANE · CIK 0001342502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,455

F3 · price: Received in exchange for shares of common stock of Nexcella, Inc. which were held by the Reporting Person, which entity was merged with and into the Issuer on May 20, 2024, with the Issuer continuing as the surviving entity.

SEC source: 0001493152-24-020781 · ownership.xml · nonDerivative · entry 2

Marquet Magda · CIK 0001631486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,092

F3 · price: Received in exchange for shares of common stock of Nexcella, Inc. which were held by the Reporting Person, which entity was merged with and into the Issuer on May 20, 2024, with the Issuer continuing as the surviving entity.

SEC source: 0001493152-24-020778 · ownership.xml · nonDerivative · entry 1

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,130,359

F1 · price: Received in exchange for shares of common stock of Nexcella, Inc. which were held by the Reporting Person, which entity was merged with and into the Issuer on May 20, 2024, with the Issuer continuing as the surviving entity.

SEC source: 0001493152-24-020780 · ownership.xml · derivative · entry 5

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,512

Underlying: Common Stock · 25,512 shares

Expires 2033-05-26

F3 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

F4 · derivative.exercise_date: The Stock Option will vest in thirteen (13) equal monthly installments following the date of grant, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001493152-24-020780 · ownership.xml · derivative · entry 4

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,587

Underlying: Common Stock · 21,587 shares

Expires 2033-05-26

F3 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

SEC source: 0001493152-24-020777 · ownership.xml · nonDerivative · entry 1

Adams Helen C. · CIK 0001488486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,740

F1 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

F2 · shares: Restricted Stock Awards which will vest in thirteen (13) equal monthly installments following the date of grant, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001493152-24-020779 · ownership.xml · derivative · entry 4

BUCHAN JANE · CIK 0001342502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,153

Underlying: Common Stock · 24,153 shares

Expires 2033-05-26

F1 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

F4 · derivative.exercise_date: The Stock Option will vest in thirteen (13) equal monthly installments following the date of grant, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001493152-24-020779 · ownership.xml · derivative · entry 3

BUCHAN JANE · CIK 0001342502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,436

Underlying: Common Stock · 20,436 shares

Expires 2033-05-26

F1 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

SEC source: 0001493152-24-020779 · ownership.xml · nonDerivative · entry 1

BUCHAN JANE · CIK 0001342502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,332

F1 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

F2 · shares: Restricted Stock Awards which will vest in thirteen (13) equal monthly installments following the date of grant, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001493152-24-020781 · ownership.xml · nonDerivative · entry 1

Marquet Magda · CIK 0001631486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,002

F1 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

F2 · shares: Restricted Stock Awards which will vest in thirteen (13) equal monthly installments following the date of grant, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001493152-24-020775 · ownership.xml · derivative · entry 4

Ng Carey · CIK 0001889522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,512

Underlying: Common Stock · 25,512 shares

Expires 2033-05-26

F2 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

F3 · derivative.exercise_date: The Stock Option will vest in thirteen (13) equal monthly installments following the date of grant, subject to the Reporting Person's continued service with the Issuer.

SEC source: 0001493152-24-020775 · ownership.xml · derivative · entry 3

Ng Carey · CIK 0001889522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,587

Underlying: Common Stock · 21,587 shares

Expires 2033-05-26

F2 · kind: Issued to replace prior awards held by the Reporting Person in Nexcella, Inc., in contemplation of the merger of Nexcella, Inc. and the Issuer, which became effective on May 20, 2024.

SEC source: 0001493152-24-019368 · ownership.xml · nonDerivative · entry 1

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,816

SEC source: 0001493152-24-019366 · ownership.xml · nonDerivative · entry 1

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 912,000

SEC source: 0001493152-23-044618 · ownership.xml · nonDerivative · entry 2

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 813,000

F2 · price: This transaction was executed in multiple trades at prices ranging from $4.646 to $4.733, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-23-044618 · ownership.xml · nonDerivative · entry 1

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 782,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $4.796 to $4.978, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-23-032969 · ownership.xml · nonDerivative · entry 4

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 757,000

F4 · price: This transaction was executed in multiple trades at prices ranging from $2.59 to $2.42, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-23-032829 · ownership.xml · nonDerivative · entry 1

Ng Carey · CIK 0001889522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.51 to $2.60, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-23-032969 · ownership.xml · nonDerivative · entry 3

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750,000

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.598 to $2.56, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-23-032664 · ownership.xml · nonDerivative · entry 1

Adams Helen C. · CIK 0001488486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,000

F1 · price: This figure is the weighted average sales price of multiple trades ranging from $2.90 to $3.25 per share. The Reporting Person undertakes to provide the staff of the Securities and Exchange Commission, Immix Biopharma, Inc. or any security holder of Immix Biopharma, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001493152-23-032969 · ownership.xml · nonDerivative · entry 2

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 740,000

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.91 to $2.70, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-23-032969 · ownership.xml · nonDerivative · entry 1

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 710,000

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.9299 to $2.83, inclusive. The price reported above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001493152-23-032372 · ownership.xml · nonDerivative · entry 1

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 685,000

F1 · price: This figure is the weighted average sales price of multiple trades ranging from $2.51 to $2.559 per share. The Reporting Person undertakes to provide the staff of the Securities and Exchange Commission, Immix Biopharma, Inc. or any security holder of Immix Biopharma, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001493152-23-032280 · ownership.xml · nonDerivative · entry 1

BUCHAN MELISSA JANE · CIK 0001342502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

F1 · price: This figure is the weighted average sales price of multiple trades ranging from $2.39 to $2.49 per share. The Reporting Person undertakes to provide the staff of the Securities and Exchange Commission, Immix Biopharma, Inc. or any security holder of Immix Biopharma, Inc. full information about the number of shares sold at each separate price upon request.

SEC source: 0001493152-23-032150 · ownership.xml · nonDerivative · entry 1

Marquet Magda · CIK 0001631486 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Via ALMA Life Sciences, LLC

Disclosed balance after: 20,000

SEC source: 0001493152-23-031838 · ownership.xml · nonDerivative · entry 1

Marquet Magda · CIK 0001631486 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Via ALMA Life Sciences, LLC

Disclosed balance after: 11,000

SEC source: 0001493152-23-031708 · ownership.xml · nonDerivative · entry 1

Marquet Magda · CIK 0001631486 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Via ALMA Life Sciences, LLC

Disclosed balance after: 1,000

SEC source: 0001209191-23-047062 · doc4.xml · derivative · entry 2

Chudnovsky Yekaterina · CIK 0001979324 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,670

Underlying: Common Stock · 16,670 shares

Expires 2033-08-22

F2 · derivative.exercise_date: The Stock Option will vest in ten (10) equal monthly installments following the date of grant and any remaining unvested shares will become fully vested and exercisable on the date of the 2024 annual shareholder meeting, subject to the Reporting Person's continued service on the Board of Directors.

SEC source: 0001209191-23-047062 · doc4.xml · derivative · entry 1

Chudnovsky Yekaterina · CIK 0001979324 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-08-22

F1 · derivative.exercise_date: The Stock Option will vest in thirty-six (36) equal monthly installments following the date of grant, subject to the Reporting Person's continued service on the Board of Directors.

SEC source: 0001493152-23-040177 · ownership.xml · derivative · entry 1

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 293,000

Underlying: Common Stock · 293,000 shares

Expires 2033-08-14

F1 · derivative.exercise_date: Options vest monthly over 48 months from the date of grant.

SEC source: 0001493152-23-040172 · ownership.xml · derivative · entry 1

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 293,000

Underlying: Common Stock · 293,000 shares

Expires 2033-08-14

F1 · derivative.exercise_date: Options vest monthly over 48 months from the date of grant.

SEC source: 0001493152-23-028474 · ownership.xml · derivative · entry 1

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-08-11

F1 · derivative.exercise_date: Options vest monthly over 12 months from the date of grant.

SEC source: 0001493152-23-028477 · ownership.xml · derivative · entry 1

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,000

Underlying: Common Stock · 193,000 shares

Expires 2033-08-11

F1 · derivative.exercise_date: Options vest monthly over 48 months from the date of grant.

SEC source: 0001493152-23-028471 · ownership.xml · derivative · entry 1

Adams Helen C. · CIK 0001488486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-08-11

F1 · derivative.exercise_date: Options vest monthly over 12 months from the date of grant.

SEC source: 0001493152-23-028475 · ownership.xml · derivative · entry 1

BUCHAN MELISSA JANE · CIK 0001342502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-08-11

F1 · derivative.exercise_date: Options vest monthly over 12 months from the date of grant.

SEC source: 0001493152-23-028469 · ownership.xml · derivative · entry 1

Marquet Magda · CIK 0001631486 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-08-11

F1 · derivative.exercise_date: Options vest monthly over 12 months from the date of grant.

SEC source: 0001493152-23-028470 · ownership.xml · derivative · entry 1

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 193,000

Underlying: Common Stock · 193,000 shares

Expires 2033-08-11

F1 · derivative.exercise_date: Options vest monthly over 48 months from the date of grant.

SEC source: 0001493152-23-028472 · ownership.xml · derivative · entry 1

Ng Carey · CIK 0001889522 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-08-11

F1 · derivative.exercise_date: Options vest monthly over 12 months from the date of grant.

SEC source: 0001493152-22-032555 · ownership.xml · nonDerivative · entry 1

Morris Gabriel S · CIK 0001889967 · Director · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,316

SEC source: 0001493152-22-032557 · ownership.xml · nonDerivative · entry 3

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 907,700

SEC source: 0001493152-22-032557 · ownership.xml · nonDerivative · entry 2

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 907,550

SEC source: 0001493152-22-032557 · ownership.xml · nonDerivative · entry 1

Rachman Ilya M · CIK 0001889334 · Director · CEO and Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 906,550

SEC source: 0001493152-22-019501 · ownership.xml · derivative · entry 1

Hsu Jason · CIK 0001895035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2032-07-14

F1 · derivative.exercise_date: Options vest monthly over 12 months from date of grant.