Vivos director Cadwell buys $250K in preferred shares

Q: What did RDGL director Carlton M. Cadwell report on October 7, 2026?

Carlton M. Cadwell exchanged 385,302 Series C Convertible Preferred shares for 385,302 Series D shares, and acquired another 250,000 Series D shares for $250,000. His reported direct Series D holdings after the transactions were 635,302 shares.

Q: How much did Carlton M. Cadwell pay for additional RDGL Series D preferred shares?

He paid $250,000 for 250,000 Series D Convertible Preferred shares on October 7, 2026, under a Stock Purchase and Exchange Agreement dated that day.

The reported transaction was exempt from Section 16(b) under Rule 16b-3.

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Form Type

Rhea-AI Filing Summary

Vivos Inc. (RDGL) director and 10% owner Carlton M. Cadwell disposed of 385,302 Series C Convertible Preferred shares to the issuer on October 7, 2026, in exchange for 385,302 Series D Convertible Preferred shares. He also acquired 250,000 additional Series D shares for $250,000; his reported direct Series D holdings after the transactions were 635,302 shares. Both preferred series are convertible at any time at the holder's election and do not expire. No Rule 10b5-1 plan is reported.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Cadwell Carlton M

Role Director, 10% Owner

Type	Security	Shares	Price	Value
Disposition	Series C Convertible Preferred ^{F1, F2}	385,302	--	--
Grant/Award	Series D Convertible Preferred ^{F1, F3}	635,302	--	--

Holdings After Transaction: Series C Convertible Preferred — 0 contracts (Direct); Series D Convertible Preferred — 635,302 contracts (Direct)

Footnotes (3)

F1. Pursuant to a Stock Purchase and Exchange Agreement, dated as of October 7, 2026, the Reporting Person received (i) 385,302 shares of Series D Convertible Preferred in exchange for 385,302 shares of Series C Convertible Preferred; and (ii) 250,000 shares of Series D Preferred for the purchase price of $250,000. The transaction was exempt from Section 16(b) of the Securities Exchange Act of 1934 (the "Act") pursuant to Rule 16b-3 promulgated under the Act.
F2. The Series C Convertible Preferred is convertible at any time, at the holder's election, and does not expire.
F3. The Series D Convertible Preferred is convertible at any time, at the holder's election, and does not expire.

Key Figures

Series C preferred shares disposed: 385,302 shares Series D preferred shares received in exchange: 385,302 shares Additional Series D preferred shares purchased: 250,000 shares +3 more

6 metrics

Series C preferred shares disposed 385,302 shares Exchanged on October 7, 2026

Series D preferred shares received in exchange 385,302 shares Exchange on October 7, 2026

Additional Series D preferred shares purchased 250,000 shares Purchase on October 7, 2026

Purchase price $250,000 For 250,000 Series D preferred shares

Direct Series D preferred holdings after transaction 635,302 shares Reported position after the October 7, 2026 transactions

Conversion price $0.08 per share Series C and Series D Convertible Preferred

Key Terms

Series C Convertible Preferred, Series D Convertible Preferred, Section 16(b), Rule 16b-3

4 terms

Series C Convertible Preferred technical

"385,302 shares of Series C Convertible Preferred"

Series D Convertible Preferred technical

"The Series D Convertible Preferred is convertible at any time"

Section 16(b) regulatory

"exempt from Section 16(b) of the Securities Exchange Act of 1934"

A federal rule that requires company insiders—like officers, directors and large shareholders—to return any profits made from buying and selling the company’s stock within a six-month window. It matters to investors because it discourages short-term trades that could exploit non-public information and helps protect outside shareholders by creating a simple, enforceable way to recover unfair gains, much like a rule stopping someone from flipping a limited-edition item for quick profit after getting early access.

Rule 16b-3 regulatory

"pursuant to Rule 16b-3 promulgated under the Act"

Rule 16b-3 is a Securities and Exchange Commission regulation that exempts certain routine, pre-approved transactions by company insiders from automatic liability for short-term trading profits. It acts like a safe harbor: if an insider follows a formal plan or the board approves specific transactions in advance, profits from buying and selling company stock within six months are not automatically reclaimed. Investors care because the rule clarifies when insider trades are permissible and reduces uncertainty about potential clawbacks.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What did RDGL director Carlton M. Cadwell report on October 7, 2026?

Carlton M. Cadwell exchanged 385,302 Series C Convertible Preferred shares for 385,302 Series D shares, and acquired another 250,000 Series D shares for $250,000. His reported direct Series D holdings after the transactions were 635,302 shares.

How much did Carlton M. Cadwell pay for additional RDGL Series D preferred shares?

He paid $250,000 for 250,000 Series D Convertible Preferred shares on October 7, 2026, under a Stock Purchase and Exchange Agreement dated that day.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 10/08/2026 - 05:26 PM Accepted by SEC EDGAR 10/08/2026 - 05:25 PM

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^*

Cadwell Carlton M

(Last)

(First)

(Middle)

C/O VIVOS INC.

1030 N CENTER PARKWAY

(Street)

KENNEWICK

WASHINGTON

99352

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
VIVOS INC [ RDGL ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	X	10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/07/2026

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series C Convertible Preferred	$0.08	10/07/2026		D⁽¹⁾			385,302	⁽²⁾	⁽²⁾	Common Stock	4,816,275	⁽¹⁾	0	D
Series D Convertible Preferred	$0.08	10/07/2026		A⁽¹⁾		635,302		⁽³⁾	⁽³⁾	Common Stock	7,941,275	⁽¹⁾	635,302	D

Explanation of Responses:

1. Pursuant to a Stock Purchase and Exchange Agreement, dated as of October 7, 2026, the Reporting Person received (i) 385,302 shares of Series D Convertible Preferred in exchange for 385,302 shares of Series C Convertible Preferred; and (ii) 250,000 shares of Series D Preferred for the purchase price of $250,000. The transaction was exempt from Section 16(b) of the Securities Exchange Act of 1934 (the "Act") pursuant to Rule 16b-3 promulgated under the Act.

2. The Series C Convertible Preferred is convertible at any time, at the holder's election, and does not expire.

3. The Series D Convertible Preferred is convertible at any time, at the holder's election, and does not expire.

	/s/ Carlton Cadwell	10/08/2026
	** 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)

Source: View Original Filing on SEC EDGAR