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. is asking stockholders to vote at a virtual annual meeting on December 2, 2026, on seven director nominees and nine other proposals. The agenda includes a proposed reverse split in a range of 1-for-20 to 1-for-40; approval for issuance of up to 18,476,959 common shares upon conversion or exercise of Series A securities held by New Seneca Partners Inc. and affiliates; and approval for issuance of up to 80,000,000 common shares upon conversion of Series C preferred stock issued to SOD Sciences, Inc. The Board would set the reverse-split ratio and timing and may abandon the amendment.
Other proposals would increase the 2024 equity plan’s authorized shares by 4,900,000, from 4,100,000 to 9,000,000, and convert the company from Delaware to Nevada. The Board recommends votes for each nominee and Proposals 2 and 4–10, and a three-year interval for future executive-compensation votes.
On June 5, 2026, Nasdaq notified Vivos that it no longer met the $1.00 minimum bid-price requirement; the initial compliance period runs to December 2, 2026. On October 20, 2026, Nasdaq staff notified Vivos that it had regained compliance with the separate stockholders’ equity requirement, subject to evidence in its next periodic report.
Vivos Therapeutics, Inc. director Anja B. Krammer received a grant of 12,000 stock options on September 14, 2026. The options are exercisable at $0.18 per share and expire on September 14, 2036. Half vested immediately; one-fourth will vest on September 30, 2026, and one-fourth on December 31, 2026. Her reported post-grant option position was 17,200 options.
Vivos Therapeutics, Inc. director Mark F. Lindsay received 12,000 stock options on September 14, 2026, exercisable at $0.18 per share for 10 years from the grant date. One-half vested immediately; one-fourth is scheduled to vest September 30, 2026, and one-fourth December 31, 2026. His reported option balance following the grant was 17,200 options.
Vivos Therapeutics, Inc. director Ralph Elias Green received a grant of 12,000 stock options on September 14, 2026, exercisable for common stock at $0.18 per share. Half vested immediately, one-fourth is scheduled to vest on September 30, 2026, and one-fourth on December 31, 2026. The options are exercisable for 10 years from the grant date, and the reported direct option position after the grant was 17,200 options.
Vivos Therapeutics, Inc. (VVOS) is asking stockholders to vote at a virtual annual meeting on December 2, 2026, on ten proposals. They include a reverse split of common stock at a Board-selected ratio from 1-for-20 to 1-for-40, if approved; the Board may abandon it. The company says the split is intended to raise its share price after a Nasdaq notice that it no longer met the $1.00 minimum bid-price requirement.
Other requests include approval for issuance of up to 18,476,959 common shares upon conversion or exercise of Series A preferred stock and related warrants, and up to 80,000,000 shares upon conversion of 12,000 Series C preferred shares, subject to proportional adjustment for the proposed reverse split. The proposals also would increase the 2024 equity plan authorization by 4,900,000 shares, from 4,100,000 to 9,000,000, and convert the company from Delaware to Nevada. The Board recommends voting for each proposal and a three-year interval for compensation votes.
The Audit Committee engaged Haynie & Company for 2026 and dismissed Baker Tilly effective September 29, 2026. Baker Tilly’s 2025 audit report included an explanatory paragraph expressing substantial doubt about the company’s ability to continue as a going concern.
Vivos Therapeutics, Inc. said Nasdaq staff confirmed it meets the $2.5 million minimum stockholders’ equity requirement under Listing Rule 5550(b)(1), based on its periodic report filed October 19, 2026. If Vivos fails to evidence compliance upon filing its next periodic report, it may be subject to delisting; after written notification, the company could appeal to a Nasdaq Hearings Panel.
The previously reported SOD Sciences transaction gave Vivos an 11% fully diluted equity interest in SOD and a 50% undivided co-ownership interest in its pseudohypoxia early-warning test. Vivos issued 12,000 shares of Series C Convertible Preferred Stock with an aggregate stated value of $12 million. The preferred stock is convertible at $0.15 per share into up to 80,000,000 common shares, subject to a 19.99% exchange cap pending stockholder approval to lift it and an initial 4.99% beneficial ownership limitation. It is expected to increase stockholders’ equity by more than $10 million, subject to final purchase price accounting and review by the company’s independent registered public accounting firm.
Vivos Therapeutics, Inc. asks stockholders to vote on ten proposals at its virtual November 18, 2026 annual meeting. Proposal 5 seeks approval for a reverse split in the range of 1-for-20 to 1-for-40; the Board would set the ratio and timing and may abandon it. The company says the split is intended to address Nasdaq’s $1.00 minimum bid-price requirement, with the initial compliance period running to December 2, 2026.
Proposals 6 and 7 seek approval for issuance of up to 18,476,959 common shares upon conversion or exercise of Series A securities held by New Seneca Partners Inc. and affiliates, and up to 80,000,000 common shares upon conversion of Series C preferred stock issued to SOD Sciences, Inc. Proposal 6 includes adjustment shares and applies notwithstanding possible issuance below Nasdaq’s Minimum Price or beneficial ownership above 19.99%. Other votes concern adding 4,900,000 shares to the 2024 equity plan, conversion to Nevada, directors, executive compensation, auditor ratification and adjournment. The Board recommends all proposals and a three-year frequency for compensation votes.
Haynie & Company replaced Baker Tilly as 2026 auditor effective September 29, 2026. Baker Tilly’s 2025 and Moss Adams’ 2024 audit reports each included an explanatory paragraph expressing substantial doubt about the company’s ability to continue as a going concern.
Vivos Therapeutics, Inc. (VVOS) completed its acquisition of 3,057,879 SOD Sciences shares, representing at least 11% of SOD’s fully diluted stock, and a 50% co-ownership interest in SOD’s pseudohypoxia test and related intellectual property. Vivos issued 12,000 Series C Convertible Preferred shares with an aggregate stated value of $12 million; neither party paid cash. The companies share equally revenues and costs from the intellectual property.
The 12,000 preferred shares are convertible at $0.15 per common share into up to 80,000,000 common shares. Before stockholder approval, the Exchange Cap limits issuance to 6,718,517 common shares, based on 19.99% of 33,609,393 shares outstanding before the agreement. A holder’s ownership cap is 4.99%, adjustable to no more than 9.99% with 61 days’ prior written notice.
Pro forma stockholders’ equity as of June 30, 2026 was approximately $6.6 million. Vivos expects the transaction to increase equity by more than $10 million, subject to purchase-price allocation and independent auditor review. Vivos believes equity exceeds Nasdaq’s $2.5 million minimum; Nasdaq will continue monitoring, and the company may face delisting if its next periodic report does not evidence compliance.
Vivos Therapeutics, Inc. (VVOS) agreed to issue 12,000 newly created Series C convertible preferred shares, with $12 million aggregate stated value, in exchange for 2,907,338 SOD Sciences common shares representing at least 11% of SOD’s fully diluted capital after closing, and a 50% co-ownership interest in SOD’s pseudohypoxia Test and related intellectual property. No cash consideration is payable. Closing is expected October 15, 2026, subject to conditions including an independent valuation, auditor concurrence on permanent-equity classification and asset valuation, consent from Series B holder Streeterville Capital, and Nasdaq notification without objection.
The preferred shares convert at a fixed $0.15 per share into up to 80 million common shares, subject to a 19.99% issuance cap unless shareholders approve excess issuance and a 4.99% beneficial-ownership limit, which the holder may increase to no more than 9.99% on 61 days’ prior written notice. A pro forma balance sheet as of June 30, 2026 shows approximately $8 million of equity, $5.5 million above Nasdaq’s $2.5 million minimum, assuming closing and expected classification; Nasdaq compliance is not assured. After closing, the parties will negotiate marketing agreements with minimum contribution-margin allocations of 80% to Vivos on Vivos-product sales through specified channels and 50/50 on Test sales.
Vivos Therapeutics, Inc. (VVOS) dismissed Baker Tilly US, LLP as its independent registered public accounting firm and engaged Haynie & Company, both effective September 29, 2026. Baker Tilly’s final service was its review of Vivos’ unaudited financial statements for the quarter ended June 30, 2026. Haynie will review the quarter ended September 30, 2026, and audit the financial statements for the fiscal year ending December 31, 2026.
The audit reports for 2025 and 2024 included explanatory paragraphs expressing substantial doubt about Vivos’ ability to continue as a going concern. Vivos reported no disagreements with Baker Tilly on accounting or auditing matters that would have required reference in its reports, and no reportable events during the stated review period.