Immix Biopharma Inc SEC Filings

Immix Biopharma insider purchase by CEO/Chairman — This Form 4 shows that Ilya M. Rachman, who is identified as a director and as the CEO and Chairman of Immix Biopharma, Inc. (IMMX), purchased 2,500 shares of the company on 09/17/2025 at a volume-weighted average price of $2.02 per share. After the purchase, the filing reports that Mr. Rachman beneficially owned 1,140,937 shares. The filing includes an explanation that the $2.02 VWAP reflects purchases executed at prices ranging from $2.01 to $2.02 and offers to provide transaction-level detail on request. The form is signed by the reporting person on 09/17/2025.

Immix Biopharma insider purchase: Gabriel Morris, reporting as a Director and CFO, purchased 2,600 shares of Immix Biopharma, Inc. (IMMX) on 09/16/2025 at a price of $1.97 per share. After the transaction he reports 290,659 shares directly beneficially owned and additional indirect holdings of 270,844 shares through Alwaysraise LLC and 24,141 shares through Alwaysraise Ventures/AVILP, with footnotes clarifying his managerial roles and disclaimer of beneficial ownership except for pecuniary interest. The Form 4 is signed by Gabriel Morris on 09/17/2025.

Dr. Nancy T. Chang filed an initial Form 3 reporting ownership in Immix Biopharma, Inc. (IMMX) related to a 09/08/2025 event. She is identified as a director and the general manager of Robinhood II, LP. The filing shows 421,940 shares of common stock held directly and 496,940 shares held indirectly by Robinhood II, LP. The report also discloses two non-transferable warrants exercisable on 09/08/2025 and expiring 09/05/2035, each covering 316,455 underlying common shares with a $2 exercise price, listed as one direct and one indirect position. The filer states she may be deemed to beneficially own securities held by Robinhood II, LP but disclaims ownership except to the extent of pecuniary interest. The Form is signed on 09/17/2025.

Immix Biopharma, Inc. reported cash and cash equivalents of $11.6 million at June 30, 2025, down from $17.7 million at year-end, total assets of $15.6 million and total stockholders' equity of $4.65 million. The company recorded a $11.17 million net loss for the six months and operating expenses of $11.4 million over the same period, reflecting continued R&D and G&A spending. Management states it does not have sufficient capital to sustain operations through the next twelve months and discloses substantial doubt about the company’s ability to continue as a going concern.

On the financing and development side, Immix established a $50 million ATM facility and sold 513,935 shares for net proceeds of $1.09 million during the quarter (1,015,347 shares sold for $2.43 million as of August 6, 2025). Clinically, lead candidate NXC-201 has favorable early results: prior cohorts showed overall response rates of 100% (10/10) and 94% (15/16) with complete response rates of 70–75%, and the program holds FDA RMAT and orphan drug designations and an $8 million CIRM grant with $3.6 million received to date.

Immix Biopharma held its 2025 Annual Meeting on June 20, with 72.1% of voting shares represented (20,092,566 shares). Two key proposals were voted upon:

1. Board of Directors Election:

• All eight directors were successfully elected with strong majority support
• Ilya Rachman (CEO), Gabriel Morris, and Jason Hsu received notably high approval rates above 14.3M votes each
• Helen C. Adams and Carey Ng received relatively lower but still substantial support with approximately 13.3-13.6M votes

2. Auditor Appointment:

• Shareholders overwhelmingly approved Crowe LLP as independent auditor for FY2025
• The resolution passed with 19.9M votes in favor (99.3% approval), only 47,622 against, and 98,438 abstentions

The company is classified as an emerging growth company and trades on Nasdaq under symbol IMMX.

Carey Ng, Director of Immix Biopharma (IMMX), reported significant insider trading activity on June 20, 2025. The key transactions include:

• Acquisition of a stock option grant for 33,000 shares with an exercise price of $2.24, expiring June 20, 2035
• The options will vest in 12 equal monthly installments following the grant date, contingent on continued Board service
• Current holdings include 20,000 shares held directly and 1,025,221 shares held indirectly through Mesa Verde Venture Partners III, LP

As Managing Director of Mesa Verde Venture Partners III, LP, Ng has voting and dispositive power over the fund's holdings but disclaims beneficial ownership except for his pecuniary interest. The transaction was executed under a valid Power of Attorney filed previously with the SEC.

Immix Biopharma, Inc. (IMMX) filed a Form 4 on 23-Jun-2025 disclosing an equity award to insider Gabriel S. Morris, who serves as Director and Chief Financial Officer.

On 20-Jun-2025 Mr. Morris received 340,000 stock options with a $2.24 exercise price. The options vest in 48 equal monthly instalments and expire on 20-Jun-2035, signalling a long-term incentive structure tied to continued service.

Post-grant, Mr. Morris reports beneficial ownership of:

• 288,059 common shares held directly.
• 270,844 common shares held indirectly through Alwaysraise LLC.
• 24,141 common shares held indirectly through Alwaysraise Ventures I LP.
• 340,000 option shares newly awarded.