Immix Biopharma (IMMX) director Carey Ng awarded RSUs, 12,500-share option

Rhea-AI Filing Summary

Immix Biopharma director Carey Ng reported new equity awards and updated holdings. He received 6,250 restricted stock units under the 2021 Equity Incentive Plan, which vest in full on the earlier of the one-year anniversary of grant or the 2027 annual stockholders’ meeting, subject to continued service. He was also granted a stock option for 12,500 shares of common stock at an exercise price of $8.78 per share, vesting in substantially equal monthly installments over 12 months or, if earlier, on the date of the 2027 annual meeting, with an expiration date in 2036. Following these awards, he directly holds 26,250 common shares and has indirect ownership of 1,025,221 shares through Mesa Verde Venture Partners III, LP, where he has voting and disposition power but disclaims beneficial ownership except for his pecuniary interest. The filing does not show any open-market purchases or sales.

Insider Trade Summary

3 transactions reported

Mixed 3 txns

Insider Ng Carey

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	--
holding	Common Stock	--	--	--

Holdings After Transaction: Stock Option (Right to Buy) — 12,500 shares (Direct, null); Common Stock — 26,250 shares (Direct, null); Common Stock — 1,025,221 shares (Indirect, See footnote)

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 Reporting Person is the Managing Director of Mesa Verde Venture Partners III, LP ("Mesa Verde") and in such capacity has the right to vote and dispose of the securities held by such entity. The Reporting Person disclaims beneficial ownership of the securities held by Mesa Verde, except to the extent of his pecuniary interest therein. 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.

Key Figures

RSU grant: 6,250 RSUs Stock option grant: 12,500 options Option exercise price: $8.78 per share +3 more

6 metrics

RSU grant 6,250 RSUs Granted under 2021 Equity Incentive Plan, vest by 2027 meeting/1-year

Stock option grant 12,500 options Stock option on common stock granted to director on May 22, 2026

Option exercise price $8.78 per share Conversion or exercise price for 12,500-share stock option

Option expiration May 22, 2036 Expiration date of the granted stock option

Direct common shares after grant 26,250 shares Total direct common stock holdings following RSU and option grants

Indirect common shares 1,025,221 shares Indirect holdings through Mesa Verde Venture Partners III, LP

Key Terms

restricted stock units ("RSUs"), 2021 Equity Incentive Plan, pecuniary interest, stock option

4 terms

restricted stock units ("RSUs") financial

"The Reporting Person was granted 6,250 restricted stock units ("RSUs") pursuant to the Issuer's 2021 Equity Incentive Plan"

Restricted stock units (RSUs) are a company promise to give an employee shares of stock (or cash equivalent) in the future, but only after certain conditions—usually staying with the company for a set time or hitting performance goals—are met. Investors watch RSUs because when they vest they increase the number of shares outstanding and can lead insiders to sell shares, affecting share price, company dilution and the true cost of employee pay.

2021 Equity Incentive Plan financial

"granted 6,250 restricted stock units ("RSUs") pursuant to the Issuer's 2021 Equity Incentive Plan"

pecuniary interest financial

"disclaims beneficial ownership of the securities held by Mesa Verde, except to the extent of his pecuniary interest therein"

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.

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Form 4 Insider Transactions: What Each Field Means →

SEC Form 4

FORM 4

UNITED 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^*

Ng Carey

(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)

X	Director		10% 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)

X	Form 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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	05/22/2026		A		6,250(1)	A	$0	26,250	D
Common Stock								1,025,221	I	See footnote(2)

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Stock Option (Right to Buy)	$8.78	05/22/2026		A		12,500		(3)	05/22/2036	Common Stock	12,500	$0	12,500	D

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 Reporting Person is the Managing Director of Mesa Verde Venture Partners III, LP ("Mesa Verde") and in such capacity has the right to vote and dispose of the securities held by such entity. The Reporting Person disclaims beneficial ownership of the securities held by Mesa Verde, except to the extent of his pecuniary interest therein.

3. 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 Carey Ng	05/29/2026
	** Signature of Reporting Person	Date
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)

FAQ

What did Immix Biopharma (IMMX) director Carey Ng receive in this Form 4 filing?

Director Carey Ng received 6,250 restricted stock units and a stock option for 12,500 shares of Immix Biopharma common stock, reflecting equity-based compensation rather than open-market buying or selling activity.

How do Carey Ng’s new RSUs from Immix Biopharma (IMMX) vest?

The 6,250 RSUs vest in full on the earlier of the one-year anniversary of the grant date or the date of Immix Biopharma’s 2027 annual stockholders’ meeting, assuming Ng continues to serve the company until that time.

What are the key terms of Carey Ng’s new stock option from Immix Biopharma (IMMX)?

Ng was granted a stock option for 12,500 shares at an exercise price of $8.78 per share. The option vests in substantially equal monthly installments over 12 months and expires in 2036, contingent on continued board service.

How many Immix Biopharma (IMMX) shares does Carey Ng hold after these equity awards?

After the awards, Ng directly holds 26,250 shares of Immix Biopharma common stock. He also has indirect ownership of 1,025,221 shares through Mesa Verde Venture Partners III, LP, where he has voting and disposition authority.

Does this Immix Biopharma (IMMX) Form 4 show any open-market stock purchases or sales by Carey Ng?

The Form 4 shows equity grants only, with no reported open-market purchases or sales. Reported transactions are grants of RSUs and stock options, plus an updated indirect holding entry for shares held through Mesa Verde Venture Partners III, LP.

What is Carey Ng’s relationship to Mesa Verde Venture Partners III, LP in the Immix Biopharma (IMMX) filing?

Ng is the Managing Director of Mesa Verde Venture Partners III, LP and can vote and dispose of its Immix Biopharma shares. He disclaims beneficial ownership of those securities except to the extent of his pecuniary interest.