SEC Form 4 · accession 0001140361-15-002027
VIVOS INC · RDGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Carlton M Cadwell
Director · 10% Owner
Period of report
Jan 15, 2015
Accepted (ET)
Jan 16, 2015 · 4:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001449349
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jan 15, 2015 | A | 1,539,221 | — | A | 5,417,276 | D | |
| Common Stock | holding | — | — | — | 21,529,907 | I | By Cadwell Family Irrevocable Trust | |
| Common Stock | holding | — | — | — | 3,261,335 | I | By Cadwell Industries, Inc. | |
| Common Stock | holding | — | — | — | 28,335 | I | By Cadwell Vista Field Limited | |
| Common Stock | holding | — | — | — | 37,500 | I | As Trustee for child | |
| Common Stock | holding | — | — | — | 87,500 | I | As Trustee for child |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible NoteF1,F2 | $0.0007 | Jan 15, 2015 | A | — | A | Jan 15, 2015 | Jan 15, 2016 | Common Stock | 37,142,857 | — | D |
Explanation of responses
- F1On 1/15/15, in exchange for $26,000, the reporting person purchased from the issuer a Convertible Note in the principal amount of $26,000 and acquired from the issuer 1,539,221 shares of Common Stock as a loan origination fee.
- F2Conversion shares as of 1/15/15.