---
schema_version: "secwatch.filing_event.v1"
accession: "0001493152-23-000896"
form_type: "8-K"
ticker: "VVOS"
cik: "0001716166"
company_name: "Vivos Therapeutics, Inc."
filed_at: "2023-01-09T23:59:59+00:00"
generated_at: "2026-06-20T18:01:08.347568+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.65
calibrated_materiality_score: 0.65
confidence: "high"
source: SEC EDGAR
---

# Vivos Therapeutics prices $8M private placement at $1.20/unit with warrants

## Summary
- Gross proceeds of $8.0M from private placement; net proceeds ~$7.5M after fees.
- Price of $1.20 per unit (one share or pre-funded warrant plus one warrant exercisable at $1.20 for 5.5 years).
- Company to issue 2M shares, pre-funded warrants for ~4.67M shares, and warrants for 6.67M shares.
- Proceeds used for general working capital and corporate purposes.
- Registration rights agreement to be filed within 30 days; penalties up to 10.5% of gross proceeds if not effective.

## SEC filing metadata
- accession: 0001493152-23-000896
- form_type: 8-K
- ticker: VVOS
- cik: 0001716166
- company_name: Vivos Therapeutics, Inc.
- filed_at: 2023-01-09T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.65
- calibrated_materiality_score: 0.65
- confidence: high
- sec_items: 1.01, 3.02, 8.01, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1716166/000149315223000896/0001493152-23-000896-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1716166/000149315223000896/form8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001493152-23-000896
- JSON: https://secwatch.observer/filing/0001493152-23-000896.json
- Plain text: https://secwatch.observer/filing/0001493152-23-000896.txt

## Key facts
- Material Agreements
  Vivos Therapeutics, Inc. entered into Registration Rights Agreement with institutional investor valued at file a registration statement with the SEC to register for resale the Shares and the shares of Commo (effective 2023-01-05).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: institutional investor
  - Value: file a registration statement with the SEC to register for resale the Shares and the shares of Commo
  - Effective: 2023-01-05
  source text: On January 5, 2023, in connection with the Private Placement, the Company entered into a registration rights agreement (the “Registration Rights Agreement”) with the Purchaser, pursuant to which the Company agreed to file a registration statement with the Securities and Exchange Commission (the “SEC”) to register for resale the Shares and the shares of Common Stock issuable upon exercise of the Warrants within 30 days of the signing of the Registration Rights Agreement, with such registration statement to be effective by February 14, 2023 (if such registration statement is not subject to review by the SEC) or within 75 days after the signing of the Registration Rights Agreement (if such registration statement is subject to limited or full review by the SEC).
  evidence_url: https://www.sec.gov/Archives/edgar/data/1716166/000149315223000896/0001493152-23-000896-index.htm
- Material Agreements
  Vivos Therapeutics, Inc. entered into Placement Agency Agreement with Roth Capital Partners, LLC and A.G.P./Alliance Global Partners valued at cash fee equal to 6.0% of the gross proceeds received by the Company in the Private Placement, in ad (effective 2023-01-05).
  - Action: entry
  - Agreement: underwriting
  - Counterparty: Roth Capital Partners, LLC and A.G.P./Alliance Global Partners
  - Value: cash fee equal to 6.0% of the gross proceeds received by the Company in the Private Placement, in ad
  - Effective: 2023-01-05
  source text: Pursuant to a placement agency agreement, dated January 5, 2023, between the Company and the Placement Agents (the “Placement Agency Agreement”), the Company agreed to pay the Placement Agent a cash fee equal to 6.0% of the gross proceeds received by the Company in the Private Placement, in addition to the reimbursement of $40,000 of expenses.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1716166/000149315223000896/0001493152-23-000896-index.htm
- Material Agreements
  Vivos Therapeutics, Inc. entered into Securities Purchase Agreement with institutional investor valued at up to an aggregate of $8,000,000 of securities (effective 2023-01-05).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: institutional investor
  - Value: up to an aggregate of $8,000,000 of securities
  - Effective: 2023-01-05
  source text: On January 5, 2023, Vivos Therapeutics, Inc., a Delaware corporation (the “Company”), entered into a Securities Purchase Agreement (“Purchase Agreement”) with an institutional investor (the “Purchaser”) pursuant to which the Company agreed sell up to an aggregate of $8,000,000 of securities of the Company in a private placement (the “Private Placement”) of units.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1716166/000149315223000896/0001493152-23-000896-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.