Vivos Therapeutics investor reports warrant, preferred stake
V-Co Investors 4 LLC, a 10% owner of Vivos Therapeutics, reports initial beneficial ownership on Form 3.
Accepted by SEC EDGAR
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Form Type
3
Rhea-AI Filing Summary
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.
Insider Trade Summary
Holdings reported, no transactions
Holdings
Insider
V-Co Investors 4 LLC
Role
10% Owner
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Holding | Series A Convertible Preferred Stock F1 | -- | -- | -- |
| Holding | Common Stock Purchase Warrant | -- | -- | -- |
Holdings:
Series A Convertible Preferred Stock — 2,749,330 shares (Direct);
Common Stock Purchase Warrant — 2,749,330 warrants (Direct)
Footnotes (1)
- F1. The convertible preferred stock is convertible at any time, at the holder's election, subject to a beneficial ownership limitation, and has no expiration date.
Key Figures
Underlying common shares (warrant): 2,749,330 shares
Exercise / conversion price: $0.4560 per share
Warrant expiration date: June 30, 2031
+1 more
4 metrics
Underlying common shares (warrant)
2,749,330 shares
Underlying shares for Common Stock Purchase Warrant held by V-Co Investors 4 LLC
Exercise / conversion price
$0.4560 per share
Exercise price for warrant and conversion price for Series A Convertible Preferred Stock
Warrant expiration date
June 30, 2031
Expiration date of the Common Stock Purchase Warrant
Underlying common shares (Series A preferred)
2,749,330 shares
Common shares underlying the Series A Convertible Preferred Stock
Key Terms
Common Stock Purchase Warrant, Series A Convertible Preferred Stock, beneficial ownership limitation
3 terms
Common Stock Purchase Warrant financial
"holds a Common Stock Purchase Warrant exercisable at $0.4560"
A common stock purchase warrant is a tradable certificate that gives its holder the right to buy a company’s common shares at a fixed price for a set period. Think of it as a coupon that lets you buy stock later at today’s agreed price; it can amplify gains if the share price rises but also can increase the total number of shares outstanding, which may reduce existing owners’ percentage of the company. Investors watch warrants because they offer leveraged upside and can affect future share value and ownership.
Series A Convertible Preferred Stock financial
"reports ownership of Series A Convertible Preferred Stock"
Series A convertible preferred stock is a class of shares sold in an early funding round that gives investors a mix of protection and upside: it pays a priority claim over common shares if the company is sold or closes, but can be converted into ordinary shares to share in future growth. Think of it like a hybrid between a safer stake and a ticket to ownership; it matters to investors because it affects who controls the company, how future gains are split, and how much their investment is protected from downside.
beneficial ownership limitation regulatory
"convertible at any time, subject to a beneficial ownership limitation"
A beneficial ownership limitation is a rule that caps the percentage of a company’s shares an investor can be treated as owning or controlling for voting, regulatory or tax purposes. It matters to investors because it can restrict how many shares a person or group can buy or vote, affect takeover chances, and influence share liquidity and value — like a speed limit that prevents any single driver from taking over the whole road.
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What does V-Co Investors 4 LLC report owning in Vivos Therapeutics (VVOS)?
V-Co Investors 4 LLC reports holding a warrant and Series A convertible preferred stock, each tied to 2,749,330 common shares of Vivos Therapeutics at an exercise or conversion price of $0.4560 per share, reflecting a significant derivative-based ownership position.
What are the key terms of the Common Stock Purchase Warrant reported for VVOS?
The Common Stock Purchase Warrant held by V-Co Investors 4 LLC is exercisable for 2,749,330 common shares of Vivos Therapeutics at $0.4560 per share and carries an expiration date of June 30, 2031, defining a long-dated potential equity position.
How is the Series A Convertible Preferred Stock in VVOS structured for V-Co Investors 4 LLC?
The Series A Convertible Preferred Stock is convertible into 2,749,330 common shares of Vivos Therapeutics at $0.4560 per share. It is convertible at any time at the holder’s election, subject to a beneficial ownership limitation, and has no stated expiration date.
Is V-Co Investors 4 LLC considered a major holder of Vivos Therapeutics (VVOS)?
Yes. V-Co Investors 4 LLC is identified as a 10% owner of Vivos Therapeutics. Its reported warrant and Series A preferred positions, each linked to 2,749,330 underlying common shares, together indicate a substantial potential equity stake in the company.
Does the VVOS Series A preferred held by V-Co Investors 4 LLC have a maturity date?
The Series A Convertible Preferred Stock reported by V-Co Investors 4 LLC has no expiration date. It is convertible at any time, subject to a beneficial ownership limitation, giving the holder ongoing flexibility to convert into Vivos Therapeutics common shares.
AI-generated analysis. How Rhea-AI works. Not financial advice.
