8-K - Vivos Therapeutics, Inc. | StockGist

AI Analysis

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Vivos Therapeutics, Inc. entered into a private placement agreement with V-Co Investors 3 LLC on March 31, 2026, raising $850,000 in cash plus $1,400,000 in converted bridge financing, issuing common stock and warrants with anti-dilution protections and resale registration obligations.

Key Takeaways

1Issued 1,353,625 shares of common stock at $1.34 per share, generating $850,000 in cash proceeds.

2$1,400,000 previously funded under a January 15, 2026 bridge note automatically converted into the PIPE Offering.

3Issued a pre-funded warrant for 429,957 shares at $0.0001 exercise price, exercisable immediately with no expiration date until fully exercised.

4Issued two identical common stock purchase warrants—Series A (2-year term) and Series B (5-year term)—each for 1,783,582 shares at $1.09 per share.

5Warrants include stock-based anti-dilution protection and a 19.99% beneficial ownership cap on Seneca and affiliates.

6Company must file a Form S-3 resale registration statement within 45 days and use commercially reasonable efforts to make it effective within 90 days.

Current Report Details

Event Type

Material Agreement

Securities Issuance

Exhibits On

Disclosure

Mandatory

Variant

8-K

Items Reported

1.01

Entry into a Material Definitive Agreement.** On March 31, 2026, Vivos Therapeutics, Inc., a Delaware corporation (the “**Company**”) entered into a Securities

Material Agreement

$1.34$850.0K$1.4M$140.0K

Source Document

3.02

Unregistered Sales of Equity Securities.** The information contained above under Item 1.01, to the extent applicable, is hereby incorporated by reference herein

Securities Issuance

9.01

. Financial Statements and Exhibits.** (d) Exhibits | Exhibit No. | | Description | |---|---|---| | 4.1 | | Pre-Funded Warrant, dated March 31, 2026 by and betw

Exhibits Only

Transaction Details

Material Agreement

Agreement: Securities Purchase Agreement
Parties: Vivos Therapeutics, Inc., V-Co Investors 3 LLC

•Purchase price of $1.34 per PIPE Share and Pre-Funded Warrant Share
•Gross proceeds: $850,000 cash + $1,400,000 bridge note conversion
•Resale Registration Statement required within 45 days; effectiveness targeted within 90 days
•Registration statement must remain effective for three years after effectiveness
•Company to pay $50,000 for V-Co 3’s counsel fees

Exhibits (5)

10.1

EX-10.1

4.1

EX-4.1

4.2

EX-4.2

4.3

EX-4.3

8-K