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[Form 4] Immix Biopharma, Inc. Insider Trading Activity

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

Rhea-AI Filing Summary

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.

Positive

  • None.

Negative

  • None.
Insider Ng Carey
Role Director
Type Security Shares Price Value
Grant/Award Stock Option (Right to Buy) 33,000 $0.00 --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Stock Option (Right to Buy) — 33,000 shares (Direct); Common Stock — 20,000 shares (Direct); Common Stock — 1,025,221 shares (Indirect, See footnote)
Footnotes (1)
  1. Carey Ng 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. Mr. Ng 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 twelve (12) equal monthly installments following the date of grant, subject to the Reporting Person's continued service on the Board of Directors.
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 CA 90064
(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
06/20/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 20,000 D
Common Stock 1,025,221 I See footnote(1)
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) $2.24 06/20/2025 A 33,000 (2) 06/20/2035 Common Stock 33,000 $0.00 33,000 D
Explanation of Responses:
1. Carey Ng 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. Mr. Ng disclaims beneficial ownership of the securities held by Mesa Verde, except to the extent of his pecuniary interest therein.
2. The Stock Option will vest in twelve (12) equal monthly installments following the date of grant, subject to the Reporting Person's continued service on the Board of Directors.
Remarks:
See Power of Attorney filed as Exhibit 24.1 to the Form 3 filed by the Reporting Person on December 15, 2021.
/s/ Ilya Rachman as Attorney-In-Fact for Carey Ng 06/23/2025
** 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.

Source: View Original Filing on SEC EDGAR

FAQ

How many stock options did IMMX director Carey Ng receive on June 20, 2025?

Carey Ng received 33,000 stock options (right to buy) of IMMX on June 20, 2025, with an exercise price of $2.24 per share.

What is the vesting schedule for Carey Ng's IMMX stock options granted in June 2025?

The stock options will vest in twelve (12) equal monthly installments following the date of grant (June 20, 2025), subject to Ng's continued service on the Board of Directors.

How many shares of IMMX common stock does Carey Ng directly own?

Carey Ng directly owns 20,000 shares of IMMX common stock, as reported in Table I of the Form 4 filing.

What is Carey Ng's indirect ownership position in IMMX through Mesa Verde Venture Partners?

Carey Ng has indirect beneficial ownership of 1,025,221 shares of IMMX common stock through Mesa Verde Venture Partners III, LP, where he serves as Managing Director with voting and dispositive power over these shares.

When do Carey Ng's IMMX stock options expire?

The stock options granted to Carey Ng expire on June 20, 2035, ten years after the grant date.