Vivos Therapeutics (NASDAQ: VVOS) investor buys stock, pre-funded warrants

Rhea-AI Filing Summary

Vivos Therapeutics, Inc. disclosed that V-Co Investors 3 LLC, a ten percent owner associated with Michael C. Skaff, made a series of open-market purchases on March 31, 2026. The entity bought 1,353,625 shares of common stock at $1.34 per share, plus pre-funded and Series A and B common stock warrants at the same price, covering a total of 5,350,746 securities including underlying common shares. A bridge promissory note of $1,400,000 was also converted into common stock based on $1.09 per share plus $0.25 per share under Nasdaq minimum price rules. The Pre-Funded Warrant has a term ending upon complete exercise, while the Series A and Series B warrants have exercise prices of $1.09 and expire on March 31, 2028 and March 31, 2031, respectively. Skaff and SP Manager LLC disclaim beneficial ownership except to the extent of their pecuniary interest.

Insights

Equity ownership and capital structure analyst

Large affiliated holder buys common stock and warrants, plus converts debt into equity.

The filing shows V-Co Investors 3 LLC, an affiliated ten percent owner, making open-market purchases of common stock and multiple warrant classes in Vivos Therapeutics at $1.34 per unit. This is a clear net-buy pattern rather than a sale.

The transactions include pre-funded warrants with a nominal exercise price of $0.0001 and Series A and B common stock warrants with an exercise price of $1.09, expiring on March 31, 2028 and March 31, 2031. These instruments add potential future common stock over defined timeframes.

A $1,400,000 bridge promissory note was also converted into common stock based on $1.09 per share plus $0.25 per share under Nasdaq minimum price rules, shifting that amount from debt into equity. Michael C. Skaff and SP Manager LLC disclaim beneficial ownership beyond their pecuniary interest, so the economic exposure is through the LLC rather than direct personal holdings.

Insider Trade Summary

Net Buyer: 5,350,746 shares ($7,170,000)

Net Buy 5 txns

Insider Skaff Michael C, V-Co Investors 3 LLC

Role 10% Owner | 10% Owner

Bought 5,350,746 shs ($7.17M)

Type	Security	Shares	Price	Value
Purchase	Pre-Funded Warrant	429,957	$1.34	$576K
Purchase	Series A Common Stock Warrant	1,783,582	$1.34	$2.39M
Purchase	Series B Common Stock Warrant	1,783,582	$1.34	$2.39M
Purchase	Common Stock	1,044,777	$1.34	$1.40M
Purchase	Common Stock	308,848	$1.34	$414K

Holdings After Transaction: Pre-Funded Warrant — 429,957 shares (Indirect, By V-CO Investors 3 LLC); Series A Common Stock Warrant — 1,783,582 shares (Indirect, By V-CO Investors 3 LLC); Series B Common Stock Warrant — 1,783,582 shares (Indirect, By V-Co Investors 3 LLC); Common Stock — 1,044,777 shares (Indirect, By V-CO Investors 3 LLC)

Footnotes (1)

1. On March 31, 2026, V-Co Investors 3, LLC converted a bridge promissory note in the amount of $1,400,000 entered into between the reporting person and the Issuer into shares of the Issuer's common stock, based on $1.09 per share of Common Stock plus $0.25 per share in accordance with the Nasdaq minimum price rules. Michael C. Skaff serves as Managing Director of SP Manager LLC, the Manager of V-Co Investors 3 LLC. Michael C. Skaff and SP Manager LLC disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. The Pre-Funded Warrant has a term ending on the complete exercise of the Pre-Funded Warrant.

Key Figures

Total securities acquired: 5,350,746 securities Common stock held indirectly: 1,353,625 shares Bridge note converted: $1,400,000 +5 more

8 metrics

Total securities acquired 5,350,746 securities Common stock and warrants bought March 31, 2026

Common stock held indirectly 1,353,625 shares Indirect ownership by V-Co Investors 3 LLC after latest buy

Bridge note converted $1,400,000 Promissory note converted into common stock per footnote

Purchase price $1.34 per unit Price for common stock and warrants on March 31, 2026

Pre-funded warrant exercise price $0.0001 per share Exercise price for pre-funded warrant

Series A/B warrant strike $1.09 per share Exercise price for Series A and B common stock warrants

Series A warrant expiry March 31, 2028 Expiration date of Series A common stock warrant

Series B warrant expiry March 31, 2031 Expiration date of Series B common stock warrant

Key Terms

Pre-Funded Warrant, Series A Common Stock Warrant, Series B Common Stock Warrant, bridge promissory note, +1 more

5 terms

Pre-Funded Warrant financial

"The Pre-Funded Warrant has a term ending on the complete exercise of the Pre-Funded Warrant."

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

"Series A Common Stock Warrant with an exercise price of $1.09 expiring on March 31, 2028."

Series B Common Stock Warrant financial

"Series B Common Stock Warrant with an exercise price of $1.09 expiring on March 31, 2031."

bridge promissory note financial

"converted a bridge promissory note in the amount of $1,400,000 into shares of the Issuer's common stock."

Nasdaq minimum price rules financial

"based on $1.09 per share of Common Stock plus $0.25 per share in accordance with the Nasdaq minimum price rules."

Form 4 Insider Transactions: What Each Field Means →

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^*

Skaff Michael C

(Last) (First) (Middle)

18000 MACK AVE

(Street)

GROSSE POINTE MICHIGAN 48230

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Vivos Therapeutics, Inc. [ VVOS ]

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

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

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/31/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

	Form filed by One Reporting Person
X	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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	03/31/2026		P		1,044,777(1)	A	$1.34	1,044,777	I	By V-CO Investors 3 LLC(2)
Common Stock	03/31/2026		P		308,848	A	$1.34	1,353,625	I	By V-CO Investors 3 LLC(2)

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Pre-Funded Warrant	$0.0001	03/31/2026		P		429,957		03/31/2026	(3)	Common Stock	429,957	$1.34	429,957	I	By V-CO Investors 3 LLC(2)
Series A Common Stock Warrant	$1.09	03/31/2026		P		1,783,582		03/31/2026	03/31/2028	Common Stock	1,783,582	$1.34	1,783,582	I	By V-CO Investors 3 LLC(2)
Series B Common Stock Warrant	$1.09	03/31/2026		P		1,783,582		03/31/2026	03/31/2031	Common Stock	1,783,582	$1.34	1,783,582	I	By V-Co Investors 3 LLC(2)

1. Name and Address of Reporting Person^*

Skaff Michael C

(Last) (First) (Middle)

18000 MACK AVE

(Street)

GROSSE POINTE MICHIGAN 48230

(City) (State) (Zip)

UNITED STATES

(Country)

Relationship of Reporting Person(s) to Issuer

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

1. Name and Address of Reporting Person^*

V-Co Investors 3 LLC

(Last) (First) (Middle)

18000 MACK AVE

(Street)

GROSSE POINTE MICHIGAN 48230

(City) (State) (Zip)

UNITED STATES

(Country)

Relationship of Reporting Person(s) to Issuer

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

Explanation of Responses:

1. On March 31, 2026, V-Co Investors 3, LLC converted a bridge promissory note in the amount of $1,400,000 entered into between the reporting person and the Issuer into shares of the Issuer's common stock, based on $1.09 per share of Common Stock plus $0.25 per share in accordance with the Nasdaq minimum price rules.

2. Michael C. Skaff serves as Managing Director of SP Manager LLC, the Manager of V-Co Investors 3 LLC. Michael C. Skaff and SP Manager LLC disclaim beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose.

3. The Pre-Funded Warrant has a term ending on the complete exercise of the Pre-Funded Warrant.

	/s/ Michael C. Skaff, as Managing Director SP Manager LLC, Manager of V-Co Investors 3 LLC	04/02/2026
	/s/ Michael C. Skaff, Individual	04/02/2026
	** 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)

FAQ

What insider transactions did Vivos Therapeutics (VVOS) report in this Form 4?

The Form 4 reports that V-Co Investors 3 LLC, a ten percent owner, bought common stock and multiple warrant classes at $1.34 per unit on March 31, 2026. These include pre-funded, Series A, and Series B common stock warrants tied to Vivos Therapeutics shares.

How many Vivos Therapeutics securities did V-Co Investors 3 LLC acquire?

V-Co Investors 3 LLC acquired a total of 5,350,746 securities, combining common stock and warrants, in the reported transactions. Common stock holdings indirectly owned through the LLC reached 1,353,625 shares following the latest reported common stock purchase on March 31, 2026.

What are the key terms of the Vivos Therapeutics pre-funded and Series A/B warrants?

The pre-funded warrant carries an exercise price of $0.0001 and lasts until fully exercised. The Series A and Series B common stock warrants each have a $1.09 exercise price, expiring on March 31, 2028 and March 31, 2031, respectively, for underlying Vivos Therapeutics common shares.

What bridge promissory note was converted in the Vivos Therapeutics Form 4?

A bridge promissory note of $1,400,000 between the reporting person and Vivos Therapeutics was converted into common stock. The conversion was based on $1.09 per share of common stock plus $0.25 per share, consistent with Nasdaq minimum price rules disclosed.

Who ultimately controls the Vivos Therapeutics securities bought by V-Co Investors 3 LLC?

The securities are held by V-Co Investors 3 LLC, whose manager is SP Manager LLC, with Michael C. Skaff as Managing Director. Skaff and SP Manager LLC expressly disclaim beneficial ownership of these securities except for their pecuniary interest, as stated in the filing footnote.

Were the Vivos Therapeutics insider purchases open-market transactions?

Yes. Each reported transaction is coded as a P transaction, described as an open-market or private purchase. This includes buys of common stock and the various warrant classes, all executed at a reported transaction price of $1.34 per unit on March 31, 2026.