---
schema_version: "secwatch.filing_event.v1"
accession: "0001493152-23-039170"
form_type: "8-K"
ticker: "VVOS"
cik: "0001716166"
company_name: "Vivos Therapeutics, Inc."
filed_at: "2023-11-02T23:59:59+00:00"
generated_at: "2026-06-09T00:39:17.785725+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.6
calibrated_materiality_score: 0.6
confidence: "high"
source: SEC EDGAR
---

# Vivos raises $4.0M via private placement of stock and warrants; amends prior warrant

## Summary
- Sold 980,393 shares (or pre-funded warrants) at $4.08/share plus 980,393 Series A and 980,393 Series B warrants at $3.83.
- Net proceeds of ~$3.5M for working capital and corporate purposes.
- Amended January 2023 warrant held by same investor: exercise price cut from $30 to $3.83, expiration extended to Nov 2, 2028.
- Registration rights agreement requires filing within 20 days; penalties up to 10.5% of gross proceeds for delay.
- A.G.P./Alliance Global Partners acted as placement agent with 7% cash fee.

## SEC filing metadata
- accession: 0001493152-23-039170
- form_type: 8-K
- ticker: VVOS
- cik: 0001716166
- company_name: Vivos Therapeutics, Inc.
- filed_at: 2023-11-02T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.6
- calibrated_materiality_score: 0.6
- confidence: high
- sec_items: 1.01, 3.02, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/0001493152-23-039170-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/form8-k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001493152-23-039170
- JSON: https://secwatch.observer/filing/0001493152-23-039170.json
- Plain text: https://secwatch.observer/filing/0001493152-23-039170.txt

## Key facts
- Material Agreements
  Vivos Therapeutics, Inc. amended January 2023 Warrant Amendment with the Purchaser (effective 2023-11-02).
  - Action: amendment
  - Agreement: equity purchase
  - Counterparty: the Purchaser
  - Effective: 2023-11-02
  source text: Such amendment (the “ January 2023 Warrant Amendment ”), which became effective upon the closing of the Private Placement, reduced the exercise price of the January 2023 Warrant to $3.83 per share and extended the expiration date of the January 2023 Warrant to November 2, 2028.
  evidence_url: https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/0001493152-23-039170-index.htm
- Material Agreements
  Vivos Therapeutics, Inc. entered into Registration Rights Agreement with the Purchaser (effective 2023-11-02).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: the Purchaser
  - Effective: 2023-11-02
  source text: On the Closing Date, in connection with the Private Placement, the Company entered into a registration rights agreement with the Purchaser (the “ Registration Rights Agreement ”), pursuant to which the Company agreed to file a registration statement with the Securities and Exchange Commission (the “ SEC ”) covering the resale of the Shares and the shares of Common Stock issuable upon exercise of the Warrants within 20 days of the Closing Date
  evidence_url: https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/0001493152-23-039170-index.htm
- Material Agreements
  Vivos Therapeutics, Inc. entered into Placement Agency Agreement with A.G.P./Alliance Global Partners (effective 2023-10-30).
  - Action: entry
  - Agreement: underwriting
  - Counterparty: A.G.P./Alliance Global Partners
  - Effective: 2023-10-30
  source text: Pursuant to a placement agency agreement dated October 30, 2023, between the Company and the Placement Agent (the “ Placement Agency Agreement ”), the Company agreed to pay to the Placement Agent a cash fee equal to 7.0% of the gross proceeds received by the Company in the Private Placement
  evidence_url: https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/0001493152-23-039170-index.htm
- Material Agreements
  Vivos Therapeutics, Inc. entered into Securities Purchase Agreement with an institutional investor valued at $4,000,003.44 (effective 2023-10-30).
  - Action: entry
  - Agreement: equity purchase
  - Counterparty: an institutional investor
  - Value: $4,000,003.44
  - Effective: 2023-10-30
  source text: On October 30, 2023, Vivos Therapeutics, Inc., a Delaware corporation (the “ Company ”), entered into a Securities Purchase Agreement (the “ Purchase Agreement ”) with an institutional investor (the “ Purchaser ”) pursuant to which the Company agreed sell an aggregate of $4,000,003.44 of securities of the Company in a private placement
  evidence_url: https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/0001493152-23-039170-index.htm

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