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Immix Biopharma (IMMX) awards RSUs and stock options to director Helen Adams

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Immix Biopharma director Helen C. Adams received new equity awards as part of her compensation. She was granted 6,250 restricted stock units of common stock, which will vest in full on the earlier of the one-year anniversary of the grant date or the company’s 2027 annual shareholder meeting, subject to her continued service.

Adams was also granted stock options for 12,500 shares of common stock at an exercise price of $8.78 per share, expiring on May 22, 2036. These options vest in substantially equal monthly installments over 12 months following the grant date, or sooner if the 2027 annual meeting occurs earlier. After the RSU grant, her direct common stock holdings total 181,004 shares.

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Insider Adams Helen C.
Role null
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 12,500 $0.00 --
Grant/Award Common Stock 6,250 $0.00 --
Holdings After Transaction: Stock Option (Right to Buy) — 12,500 shares (Direct, null); Common Stock — 181,004 shares (Direct, null)
Footnotes (1)
  1. The Reporting Person was granted 6,250 restricted stock units ("RSUs") pursuant to the Issuer's 2021 Equity Incentive Plan, which RSUs will vest in full on the earlier of (i) the one-year anniversary of the date of grant, and (ii) the date that the Issuer's 2027 annual meeting of stockholders (the "2027 Annual Meeting") is held, subject to the Reporting Person's continued service with the Issuer. The stock option will vest in substantially equal monthly installments over the 12 months following the date of grant (or, in the event the 2027 Annual Meeting occurs prior to the first anniversary of the date of grant, any remaining unvested portion of the stock option will vest on the date of such 2027 Annual Meeting), subject to the Reporting Person's continued service on the Issuer's Board through the applicable vesting date.
RSU grant 6,250 RSUs Granted to director Helen C. Adams, vesting by 2027 annual meeting
Options granted 12,500 options Stock options linked to common stock, granted on May 22, 2026
Option exercise price $8.78 per share Exercise price for 12,500 stock options
Option expiration May 22, 2036 Expiration date of stock options granted to Adams
Common shares held 181,004 shares Direct Immix Biopharma common stock holdings after RSU grant
Transaction code Code A (acquisition) Indicates grant/award acquisitions of RSUs and options
restricted stock units financial
"The Reporting Person was granted 6,250 restricted stock units ("RSUs") pursuant to the Issuer's 2021 Equity Incentive Plan"
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
2021 Equity Incentive Plan financial
"granted 6,250 restricted stock units ("RSUs") pursuant to the Issuer's 2021 Equity Incentive Plan"
vesting financial
"RSUs will vest in full on the earlier of (i) the one-year anniversary of the date of grant, and (ii) the date that the Issuer's 2027 annual meeting"
Vesting is the process by which you earn full ownership of something, like company stock or a retirement benefit, over time. It’s like earning the right to keep a gift piece by piece the longer you stay with a company, making sure employees stay committed before they receive all the benefits.
stock option financial
"The stock option will vest in substantially equal monthly installments over the 12 months following the date of grant"
A stock option is a contract that gives you the right to buy or sell a company's stock at a specific price within a certain time frame. People use them to potentially make money if the stock's price moves favorably or to protect against losses. It's like holding a coupon that can be used to buy or sell stock at a set price later on.
exercise price financial
"Stock Option (Right to Buy)... conversion_or_exercise_price: "8.7800""
The exercise price is the fixed amount at which you can buy or sell an asset, like a stock, when using an options contract. It matters because it helps determine whether exercising the option will be profitable or not, depending on the current market price. Think of it as the set price you agree on today to buy or sell later.
annual meeting of stockholders financial
"the Issuer's 2027 annual meeting of stockholders (the "2027 Annual Meeting") is held"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Adams Helen C.
(Last)(First)(Middle)
C/O IMMIX BIOPHARMA, INC.
11400 WEST OLYMPIC BLVD., SUITE 200
(Street)
LOS ANGELES CALIFORNIA 90064
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
Immix Biopharma, Inc. [ IMMX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/22/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock05/22/2026A6,250(1)A$0181,004D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option (Right to Buy)$8.7805/22/2026A12,500 (2)05/22/2036Common Stock12,500$012,500D
Explanation of Responses:
1. The Reporting Person was granted 6,250 restricted stock units ("RSUs") pursuant to the Issuer's 2021 Equity Incentive Plan, which RSUs will vest in full on the earlier of (i) the one-year anniversary of the date of grant, and (ii) the date that the Issuer's 2027 annual meeting of stockholders (the "2027 Annual Meeting") is held, subject to the Reporting Person's continued service with the Issuer.
2. The stock option will vest in substantially equal monthly installments over the 12 months following the date of grant (or, in the event the 2027 Annual Meeting occurs prior to the first anniversary of the date of grant, any remaining unvested portion of the stock option will vest on the date of such 2027 Annual Meeting), subject to the Reporting Person's continued service on the Issuer's Board through the applicable vesting date.
/s/ Ilya Rachman as Attorney-In-Fact for Helen C. Adams05/29/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Helen C. Adams report at Immix Biopharma (IMMX)?

Helen C. Adams reported acquiring equity awards as compensation, including 6,250 restricted stock units and stock options for 12,500 shares. These awards were granted at no cash cost to her and are tied to future service-based vesting conditions.

How many Immix Biopharma (IMMX) shares does Helen C. Adams hold after this Form 4?

Following the restricted stock unit grant, Helen C. Adams directly holds 181,004 shares of Immix Biopharma common stock. This figure reflects her ownership after the award and provides context for the size of the new grant relative to her existing position.

What are the terms of Helen C. Adams’s new stock options in Immix Biopharma (IMMX)?

Adams received stock options for 12,500 shares of Immix Biopharma common stock with an exercise price of $8.78 per share. The options expire on May 22, 2036 and vest in substantially equal monthly installments over 12 months following the grant date.

When will Helen C. Adams’s Immix Biopharma (IMMX) RSUs vest?

Her 6,250 restricted stock units will vest in full on the earlier of the one-year anniversary of the grant date or the date of Immix Biopharma’s 2027 annual meeting of stockholders, assuming she continues to serve with the company through the applicable vesting date.

Are Helen C. Adams’s Immix Biopharma (IMMX) equity awards open-market purchases?

No. The Form 4 shows grant or award acquisitions coded as “A,” indicating compensation-related RSUs and stock options. The awards were granted under Immix Biopharma’s 2021 Equity Incentive Plan rather than being bought in the open market at prevailing share prices.