SEC Form 4/A · accession 0001493152-16-009359
VIVOS INC · RDGL
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
James C Katzaroff
Officer — CHIEF EXECUTIVE OFFICER · Director
Period of report
Apr 15, 2016
Accepted (ET)
May 3, 2016 · 6:47 pm EDT
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 | Apr 15, 2016 | A | 4,237 | A | Apr 15, 2016 | — | Common Stock | 4,237,000 | 124,737 | D |
Explanation of responses
- F1The Series A Convertible Preferred Stock has no expiration date.
- F2The number of shares was recalculated to reflect the market price for the underlying common stock on the date of purchase.