SEC Form 4 · accession 0001140361-16-052099
VIVOS INC · RDGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Carlton M Cadwell
Director · 10% Owner
Period of report
Feb 5, 2016
Accepted (ET)
Feb 12, 2016 · 1:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001449349
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF2,F1 | $0.005 | Feb 5, 2016 | P | 216,977 | A | Feb 5, 2016 | — | Common Stock | 216,977,000 | 424,597 | D |
Explanation of responses
- F1The Series A Convertible Preferred Stock ("Series A Preferred") has no expiration date.
- F2In addition, the Reporting Person indirectly beneficially owns 148,309 shares of Series A Preferred, which are owned by the Cadwell Dynasty Trust.
Remarks
The funds from this issuance were used by the Company to satisfy its prior dispute with its landlord regarding the production facility rent.