Welcome to our dedicated page for Vivos Therapeutics SEC filings (Ticker: VVOS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Vivos Therapeutics, Inc. filings document its OSA-focused medical device and healthcare services business, including reported operating results, sleep testing services, the integration of The Sleep Center of Nevada assets and treatment revenue from supported OSA care locations.
The company’s 8-K and related disclosures also cover material financing agreements, warrant exercises, private placements, convertible note terms, resale-registration references, board and committee appointments, annual-report timing and Nasdaq continued-listing compliance tied to stockholders’ equity. These filings describe common stock, warrants and other capital-structure instruments alongside governance and risk-related public-company matters.
Vivos Therapeutics, Inc. reported leadership changes and new service arrangements for its finance function. On July 31, 2026, Bradford Amman voluntarily resigned as Chief Financial Officer and Secretary, effective that date, without any disagreement regarding operations, accounting, financial reporting, internal controls or disclosure. He will remain as a non-executive transition employee for a 90-day Transition Period as principal accounting officer, then serve as an independent advisor for a further 180-day Advisory Period.
Under a Separation, Resignation and Executive Transition Agreement, Mr. Amman continues to receive his current base salary and benefits during the Transition Period, a monthly advisory fee of $13,333 during the Advisory Period, COBRA premiums for up to six months, a fully vested award of 250,000 common shares, and a stock option for 150,000 shares vesting monthly during the Advisory Period, with full vesting if the company completes an equity financing of $5 million or more. The board appointed Roman Franklin as Chief Financial Officer and principal financial officer effective July 31, 2026, under a Master Services Agreement with The CFO Portal, LLC, which includes a fixed monthly retainer of $27,000, an annual retainer of $324,000, an annual equity award valued at approximately $237,360, and a separate non-qualified option for 552,000 shares to Mr. Franklin. Because Mr. Franklin leads CFO Portal, this compensation is treated as a related party transaction and was reviewed and approved by the Audit Committee.
Investment entities V-CO Investors LLC, V-Co Investors 2, 3 and 4 LLCs, SP Manager LLC and Michael C. Skaff together report beneficial ownership of 2,783,102 Vivos Therapeutics, Inc. common shares, representing 19.9% of the class. This percentage is based on 13,894,600 shares outstanding as of May 20, 2026, plus 86,979 underlying shares counted under ownership limits.
On June 30, 2026, V-Co 4 purchased 2,749,330 shares of Series A Convertible Preferred Stock and a matching Common Stock Purchase Warrant for up to 2,749,330 shares in a $1,600,000 subscription that included conversion of a $1,100,000 Convertible Promissory Note with a $100,000 original issue discount. The preferred shares were priced at $0.582 per share; the five-year warrant is immediately exercisable at $0.456 per share but subject to a 19.99% beneficial ownership cap, so only 86,979 underlying shares are currently counted. The group states an investment purpose and anticipates engaging with Vivos on financial performance, strategic direction, operations and governance, while stating no present plans for mergers, major asset sales, board changes or other control transactions.
Vivos Therapeutics, Inc. large shareholder Michael C. Skaff, through V-Co Investors 4 LLC, recorded purchases totaling 5,498,660 derivative securities tied to common stock on June 30, 2026. The entity acquired 2,749,330 Common Stock Purchase Warrants and blocks of Series A Convertible Preferred Stock (1,890,164 and 859,166 shares) at $0.582 per unit.
The warrants are exercisable for common shares at $0.456 per share until June 30, 2031. The Series A Convertible Preferred Stock is convertible into common stock at any time, subject to a beneficial ownership limitation and has no expiration date. A footnote states that V-Co Investors 4 LLC converted a $1,000,000 bridge promissory note into Series A Convertible Preferred Stock, and Skaff and SP Manager LLC disclaim beneficial ownership beyond their pecuniary interest.
V-Co Investors 4 LLC, a 10% owner of Vivos Therapeutics, reports initial beneficial ownership on Form 3. It holds a Common Stock Purchase Warrant and Series A Convertible Preferred Stock, each convertible into 2,749,330 common shares at $0.4560 per share. The warrant expires on June 30, 2031, while the preferred stock is convertible at any time subject to a beneficial ownership limitation and has no expiration date.
Vivos Therapeutics, Inc. entered into a private PIPE financing on June 30, 2026, selling 3,608,496 units at $0.582 per unit for an aggregate purchase price of about $2.1 million. Each unit includes one share of Series A Convertible Preferred Stock, a five-year warrant to buy one share of common stock at $0.456, and two contingent subscription rights.
The company received $1,000,000 in cash at closing and converted $1,000,000 previously funded under a bridge note into the PIPE. The net proceeds are intended for general working capital. The new Series A Preferred is generally non-voting, convertible one-for-one into common stock at a fixed ratio, and subject to beneficial ownership limits (typically 9.99%–19.99%) to cap concentration.
Vivos Therapeutics has amended its financing arrangement with Streeterville Capital to gain more time to raise equity and restructure debt. A June 18, 2026 letter agreement extends the deadline to complete a qualifying equity financing of at least $2,600,000 from June 15, 2026 to August 31, 2026.
Under the extended agreement, Streeterville has reaffirmed its commitment to convert up to $4.5 million of outstanding debt into a mix of perpetual, non-convertible preferred stock and common stock, on a dollar-for-dollar basis with equity raised. This structure is intended to support Vivos’ capital-raising plans while shifting part of its obligations from debt into equity.
Vivos Therapeutics plans a proposed rights offering and intends to file a registration statement with the SEC to support it. The company expects to distribute transferable subscription rights as a dividend to shareholders after the registration statement is declared effective, with the record date set 30 days after effectiveness.
Each right is expected to allow purchase of one common share at the greater of $1.25 per share or 20% above the market price before the record date, with a nine‑month exercise period. Upon exercise, holders are expected to receive a second nine‑month right with an exercise price equal to the greater of $1.75 per share or 40% above the pre‑record‑date market price. Management states the offering is intended to raise additional capital for operations and general corporate purposes.
The rights are intended to be listed for trading, but the transaction is preliminary and subject to many conditions, including SEC effectiveness, exchange rules and any shareholder approvals needed for sufficient authorized shares. Vivos emphasizes there is no assurance the rights offering will be commenced or completed, and any sale would occur only under a prospectus.
Vivos Therapeutics entered into a collaboration agreement with South Palm Cardiovascular Associates to form AIM Florida, a management services organization supporting sleep apnea and insomnia care for cardiovascular patients in Florida. Vivos expects to own at least 80% of AIM Florida, with SPCVA holding up to 20%, subject to definitive agreements and regulatory requirements.
The plan initially targets Palm Beach County and is based on Vivos’ existing sleep center model. One Sleep Optimization Team is projected to serve about 250 patients per month and generate over $6 million in annual revenue with contribution margins approaching 50% once fully deployed, with potential to add more teams over time.
Vivos Therapeutics has reached a binding Exchange Agreement with Streeterville Capital to exchange up to $4.5 million of its senior secured debt into perpetual, non‑convertible preferred stock and common shares, contingent on completing qualifying equity financings. The Streeterville note, originally $8,225,000, funded the 2025 acquisition of The Sleep Center of Nevada.
If the company raises at least $2.6 million in a first equity tranche and $1.9 million in a second, portions of the note will be exchanged, the note’s maturity will be extended to June 10, 2027, monthly redemptions reduced from $550,000 to $225,000, and redemptions suspended until September 15, 2026.
Separately, Vivos issued an unsecured, zero‑coupon convertible note to V‑Co Investors 4 LLC with a maximum principal of $5,000,000, including a 10% original issuance discount, and has already received $500,000. This note is intended to bridge a planned equity financing of up to $5,500,000, with automatic conversion into the new equity if that financing closes by June 30, 2026.
Vivos also received a Nasdaq notice that its shares traded below the $1.00 minimum bid price from April 23, 2026 to June 4, 2026, triggering a 180‑day cure period to December 2, 2026. The company is currently below Nasdaq’s $2.4 million stockholders’ equity requirement and views the debt‑to‑equity exchange and related equity raise as key parts of its remediation plan, though completion of these transactions is not assured.
Vivos Therapeutics reports first-quarter 2026 revenue of $5.1M, up from $3.0M a year earlier, driven mainly by higher sleep testing and treatment center service revenue. Despite this growth, the company posted a net loss of $7.8M, widening from $3.9M. Operating cash outflow was $6.0M, leaving cash and equivalents at $2.1M against total liabilities of $26.3M and an accumulated deficit of about $133M. Management states that existing cash will not fund operations for the next twelve months, and substantial doubt exists about the company’s ability to continue as a going concern without additional financing. The quarter also reflects integration of the 2025 Sleep Center of Nevada acquisition, which added service revenue but has not yet offset the higher costs and debt taken on for the deal.