secwatch.observer — SEC 8-K summary
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Issuer:     Vivos Therapeutics, Inc. (VVOS)
CIK:        0001716166
Form:       8-K
Filed at:   2023-11-02T23:59:59+00:00
Accession:  0001493152-23-039170
Event type: other_material
Sentiment:  neutral
Materiality: 0.60
Item codes: 1.01, 3.02, 9.01
LLM model:  deepseek-v4-flash:cloud@v2

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

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/0001493152-23-039170-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/1716166/000149315223039170/form8-k.htm
  HTML page:      https://secwatch.observer/filing/0001493152-23-039170

License: Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer