SEC Form 5 · accession 0001415889-18-000231
VIVOS INC · RDGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Leonard Bruce Jolliff
Officer — CHIEF FINANCIAL OFFICER
Period of report
Dec 31, 2017
Accepted (ET)
Feb 13, 2018 · 7:53 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 | Sep 1, 2017 | A | 2,200,000 | $0.00 | A | 3,340,334 | D | |
| Common StockF2 | Sep 1, 2017 | A | 1,100,000 | $0.00 | A | 3,340,334 | D |
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 StockF3 | $0.50 | Sep 1, 2017 | A | 83,279 | A | Sep 1, 2017 | — | Common Stock | 8,327,900 | 197,979 | D |
Explanation of responses
- F1Represents grant of restricted stock units. Shares vested on January 10, 2018.
- F2Represents grant of restricted stock units. Shares will vest in five equal installments on a quarterly basis beginning on December 31, 2017.
- F3The Series A Convertible Preferred has no expiration date.