Vivos Therapeutics Files 8-K Report

TL;DR

Vivos Therapeutics filed a standard 8-K on 7/10/24. No major news, just a heads-up.

AI Summary

On July 10, 2024, Vivos Therapeutics, Inc. filed an 8-K report detailing an "Other Event." The filing does not disclose specific financial figures or significant business changes but serves as a notification to the SEC. The company, incorporated in Delaware, is headquartered in Littleton, Colorado.

Why It Matters

This filing indicates a routine update or event notification to the SEC, without immediate financial implications disclosed.

Risk Assessment

Risk Level: low — The filing is a routine 8-K report with no specific negative or positive financial events disclosed.

Key Players & Entities

• Vivos Therapeutics, Inc. (company) — Registrant
• July 10, 2024 (date) — Date of earliest event reported
• Delaware (jurisdiction) — State of incorporation
• Littleton, Colorado (location) — Address of principal executive offices

FAQ

Key Financial Figures

• $0.0001 — ch registered Common Stock, par value $0.0001 per share VVOS The Nasdaq Stock Mar
• $2.5 million — quires stockholders' equity of at least $2.5 million (the " Equity Requirement "). On June
• $7.5 million — a result of the Company's closing of a $7.5 million equity private placement on June 10, 20

Filing Documents

• form8-k.htm (8-K) — 38KB
• 0001493152-24-026723.txt ( ) — 209KB
• vvos-20240710.xsd (EX-101.SCH) — 3KB
• vvos-20240710_lab.xml (EX-101.LAB) — 33KB
• vvos-20240710_pre.xml (EX-101.PRE) — 22KB
• form8-k_htm.xml (XML) — 4KB

From the Filing

UNITED SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange act of 1934 Date of Report (Date of earliest event reported): July 10, 2024 Vivos Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39796 81-3224056 (State or other jurisdiction of incorporation or organization) (Commission file number) (IRS Employer Identification No.) 7921 Southpark Plaza , Suite 210 Littleton , Colorado 80120 (Address of principal executive offices) (Zip Code) (844) 672-4357 ( Registrant's telephone number, including area code ) N/A (Former name or former address, if changed since last report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions: Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading Symbol(s) Name of each exchange on which registered Common Stock, par value $0.0001 per share VVOS The Nasdaq Stock Market LLC Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (240.12b-2 of this chapter). Emerging growth company If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. Item 8.01 Other Information As previously reported, on May 16, 2024, Vivos Therapeutics, Inc. (the " Company ") received written notice from the Listing Qualifications Staff of The Nasdaq Stock Market LLC (" Nasdaq ") that, as of March 31, 2024, the Company failed to comply with Nasdaq Listing Rule 5550(b)(1), which requires stockholders' equity of at least $2.5 million (the " Equity Requirement "). On June 25, 2024, the Company reported in a Current Report on Form 8-K that it believed it had stockholders' equity of at least $2.5 million as of the date of the filing of such report as a result of the Company's closing of a $7.5 million equity private placement on June 10, 2024. On June 27, 2024, the Company met with a Nasdaq Hearings Panel (the " Panel ") to discuss the Company's past, current, and anticipated future compliance with the Equity Requirement, and requested the continued listing of its securities on Nasdaq. On July 5, 2024, the Company was notified that the Panel had granted the Company's request for continued listing on Nasdaq, subject to the Company's filing of the Form 10-Q for the quarter ended June 30, 2024, with the Securities and Exchange Commission by August 15, 2024, evidencing the Company's compliance with the Equity Requirement. The Company is working diligently to ensure its continued compliance with the Equity Requirement, including exploring a potential additional equity capital financing or financings to stay above the minimum threshold of the Equity Requirement. The Company anticipates that its previously disclosed strategic marketing and distribution alliance will also positively impact the Company's revenue growth and stockholders' equity in upcoming fiscal quarters. However, there is a risk that the Company will be unable to raise sufficient capital or generate sufficient revenue or operating results to maintain compliance with the Equity Requirement. If the Company fails to achieve ongoing compliance and its common stock is delisted by Nasdaq, such delisting would likely have a material adverse effect on the Company's stock price, the ability of its stockholders to buy or sell their common stock, the ability of the Company to raise capital and on the Company's reputation, all of which could make it significantly more difficult to operate the Company. Cautionary Note Regarding Forward Looking Statements This Current Report on Form 8-K contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. Such forward-looking statements are characterized by future or conditional verbs such as "may," "will," "expect," "intend," "anticipate," "believe," "estimate," "continue" and similar words. Such statements are only predictions and actual events or results may differ materially from those anticipated in these forward-looking statements. You sho

View Full Filing

View this 8-K filing on SEC EDGAR