Immix Biopharma, Inc. 10-Q

ITEM 2. UNREGISTERED SALES OF EQUITY SECURITIES AND USE OF PROCEEDS. Unregistered Sales of Equity Securities There have been no sales of unregistered securities during the quarter ended September 30, 2023, and from the period from September 1, 2023, to the filing date of this report that have not previously been disclosed in a Current Report on Form 8-K, except as follows: On October 2, 2023, the Company issued 6,938 shares of its restricted common stock for investor relations services. On October 6, 2023, the Company issued 67,568 shares of its restricted common stock for investor relations services. On October 10, 2023, the Company issued 72,300 shares of its restricted common stock for investor relations services. On November 2, 2023, the Company issued 6,690 shares of its restricted common stock for investor relations services. The issuances described above were exempt from registration pursuant to Section 4(a)(2) of Regulation D of the Securities Act, since the foregoing issuances did not involve a public offering, the recipients took the securities for investment and not resale, we took appropriate measures to restrict transfer, and the recipients were (a) “accredited investors”; and/or (b) had access to similar documentation and information as would be required in a Registration Statement under the Securities Act. The securities are subject to transfer restrictions, and the certificates/book-entry notations evidencing the securities contain an appropriate legend stating that such securities have not been registered under the Securities Act and may not be offered or sold absent registration or pursuant to an exemption therefrom. Purchases of Equity Securities by the Issuer and Affiliated Purchasers None. ITEM 3. DEFAULTS UPON SENIOR SECURITIES. None. ITEM 4. MINE SAFETY DISCLOSURES. Not applicable.