SEC Form 4 · accession 0001415889-18-001602
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
Oct 24, 2018
Accepted (ET)
Nov 9, 2018 · 2:30 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 | Oct 24, 2018 | A | 10,465,426 | — | A | 13,805,760 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1 | $0.01 | Oct 24, 2018 | A | 5,232,713 | A | Oct 24, 2018 | Oct 24, 2020 | Common Stock | 5,232,713 | 5,232,713 | D |
| OptionsF2 | $0.014 | Oct 24, 2018 | A | 24,360,455 | A | Oct 24, 2018 | Oct 24, 2025 | Common Stock | 24,360,455 | 29,593,168 | D |
Explanation of responses
- F1Represents securities issued in lieu of cash owed to the Reporting Person for past services rendered to the Issuer in his capacity as Chief Financial Officer.
- F2Represents securities issued to the Reporting Person as a bonus for services rendered to the Issuer in his capacity as Chief Financial Officer.