Vivos holder discloses major warrant positions
V-Co Investors 3 LLC, a ten percent owner of Vivos Therapeutics, Inc., filed an initial ownership report on Form 3.
Rhea-AI Filing Summary
V-Co Investors 3 LLC, a ten percent owner of Vivos Therapeutics, Inc., filed an initial ownership report on Form 3. It reports direct holdings of 1,353,625 shares of Common Stock, plus a Pre-Funded Warrant for 429,957 underlying shares at $0.0001 per share, and Series A and Series B Common Stock Warrants each covering 1,783,582 underlying shares at an exercise price of $1.09 per share. The Series A warrant expires on March 31, 2028 and the Series B warrant on March 31, 2031, while the Pre-Funded Warrant runs until fully exercised.
Positive
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Negative
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Insider Trade Summary
4 transactions reported
Mixed
4 txns
Insider
V-Co Investors 3 LLC
Role
10% Owner
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| holding | Pre-Funded Warrant | -- | -- | -- |
| holding | Series A Common Stock Warrant | -- | -- | -- |
| holding | Series B Common Stock Warrant | -- | -- | -- |
| holding | Common Stock | -- | -- | -- |
Holdings After Transaction:
Pre-Funded Warrant — 429,957 contracts (Direct);
Series A Common Stock Warrant — 1,783,582 contracts (Direct);
Series B Common Stock Warrant — 1,783,582 contracts (Direct);
Common Stock — 1,353,625 shares (Direct)
Footnotes (1)
- F1. The Pre-Funded Warrant has a term ending on the complete exercise of the Pre-Funded Warrant.
Key Figures
Common Stock holdings: 1,353,625 shares
Pre-Funded Warrant underlying shares: 429,957 shares
Pre-Funded Warrant exercise price: $0.0001 per share
+5 more
8 metrics
Common Stock holdings
1,353,625 shares
Direct common stock held as of Form 3
Pre-Funded Warrant underlying shares
429,957 shares
Underlying common stock for Pre-Funded Warrant
Pre-Funded Warrant exercise price
$0.0001 per share
Exercise price for Pre-Funded Warrant
Series A warrant underlying shares
1,783,582 shares
Underlying common stock for Series A Common Stock Warrant
Series B warrant underlying shares
1,783,582 shares
Underlying common stock for Series B Common Stock Warrant
Series A warrant exercise price
$1.09 per share
Exercise price for Series A Common Stock Warrant
Series B warrant exercise price
$1.09 per share
Exercise price for Series B Common Stock Warrant
Warrant expirations
2028-03-31 and 2031-03-31
Series A and Series B warrant expiration dates
Key Terms
Pre-Funded Warrant, Series A Common Stock Warrant, Series B Common Stock Warrant, ten percent owner, +1 more
5 terms
Pre-Funded Warrant financial
"security_title: Pre-Funded Warrant; underlying common shares 429,957"
A pre-funded warrant is a financial instrument that gives the holder the right to buy shares of a company's stock at a set price, with most of the purchase cost already paid upfront. It functions like a nearly fully paid option, allowing investors to secure shares quickly while minimizing the amount of additional money they need to invest later. This helps investors gain ownership rights efficiently, often used to avoid certain regulatory restrictions or to prepare for future stock purchases.
Series A Common Stock Warrant financial
"security_title: Series A Common Stock Warrant; exercise price 1.0900"
Series B Common Stock Warrant financial
"security_title: Series B Common Stock Warrant; expiration 2031-03-31"
ten percent owner financial
"is_ten_percent_owner: 1 for V-Co Investors 3 LLC"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What did V-Co Investors 3 LLC report in its Form 3 for VVOS?
V-Co Investors 3 LLC reported direct ownership of 1,353,625 shares of Vivos Therapeutics common stock, plus three warrant positions for additional common shares. This initial Form 3 discloses its status as a ten percent owner and outlines its derivative holdings in detail.
What are the key terms of the Pre-Funded Warrant held in VVOS?
The Pre-Funded Warrant held by V-Co Investors 3 LLC covers 429,957 underlying common shares at an exercise price of $0.0001 per share. A footnote states the warrant’s term ends upon the complete exercise of the Pre-Funded Warrant, rather than on a fixed calendar date.
What are the Series A and Series B Common Stock Warrants reported for VVOS?
V-Co Investors 3 LLC reported a Series A Common Stock Warrant and a Series B Common Stock Warrant, each for 1,783,582 underlying common shares at an exercise price of $1.09 per share. The Series A warrant expires on March 31, 2028, and the Series B on March 31, 2031.
Does the Form 3 for VVOS show any insider buying or selling activity?
The Form 3 shows holding entries only, with no reported buy or sell transactions. All four entries are classified as holdings with an unknown transaction code, indicating this filing focuses on disclosing existing positions rather than recent trading activity.
Why is V-Co Investors 3 LLC classified as a ten percent owner of VVOS?
The metadata identifies V-Co Investors 3 LLC as a ten percent owner, triggering a Form 3 reporting obligation. This status generally reflects significant ownership, and the filing details its direct common stock position and associated warrant holdings in Vivos Therapeutics.
AI-generated analysis. How Rhea-AI works. Not financial advice.
