Statement of Changes in Beneficial Ownership (4)
January 15 2020 - 11:12AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Korenko Michael K |
2. Issuer Name and Ticker or Trading Symbol
VIVOS INC
[
RDGL
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) CEO AND PRESIDENT |
(Last)
(First)
(Middle)
C/O VIVOS INC, 719 JADWIN AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/31/2019 |
(Street)
RICHLAND, WA 99352
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Options | $.024 | 12/31/2019 | | A |
V
| 5250000 | | (1) | 6/4/2029 | Common Stock | 5250000 | $.024 | 21000000 | D | |
Series A Convertible Preferred Stock | $0.50 | | | | | | | 9/1/2017 | (2) | Common Stock | 125000 | | 100000 | D | |
Warrants | $0.01 | | | | | | | 10/24/2018 | 10/24/2020 | Common Stock | 1762321 | | 1762321 | D | |
Options | $0.014 | | | | | | | 10/24/2018 | 10/24/2025 | Common Stock | 8120152 | | 8120152 | D | |
Warrants | $0.01 | | | | | | | 10/10/2018 | 10/10/2020 | Common Stock | 225000 | | 225000 | D | |
Explanation of Responses: |
(1) | These options vested as follows: 25% on September 30, 2019; 50% based on performance metrics being met and certified by the Board of Directors effective September 30, 2019; and the remaining 25% on December 31, 2019. |
(2) | Not applicable as Series A Convertible Preferred Stock does not have an expiration date. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Korenko Michael K C/O VIVOS INC 719 JADWIN AVENUE RICHLAND, WA 99352 |
|
| CEO AND PRESIDENT |
|
Signatures
|
/s/ Michael K. Korenko | | 1/14/2020 |
**Signature of Reporting Person | Date |
Vivos (QB) (USOTC:RDGL)
Historical Stock Chart
From Aug 2024 to Sep 2024
Vivos (QB) (USOTC:RDGL)
Historical Stock Chart
From Sep 2023 to Sep 2024