Vivos Therapeutics, Inc. Files S-1 Registration Statement

TL;DR

<b>Vivos Therapeutics, Inc. has filed an S-1 registration statement, signaling potential future public offerings.</b>

AI Summary

Vivos Therapeutics, Inc. (VVOS) filed a IPO Registration (S-1) with the SEC on April 9, 2024. Vivos Therapeutics, Inc. filed an S-1 registration statement with the SEC on April 9, 2024. The company is incorporated in Delaware and headquartered in Littleton, Colorado. The filing indicates Vivos Therapeutics is a smaller reporting company and an emerging growth company. The company's former name was Vivos BioTechnologies, Inc., with a name change effective September 1, 2017. The filing is for a registration of securities under the Securities Act of 1933.

Why It Matters

For investors and stakeholders tracking Vivos Therapeutics, Inc., this filing contains several important signals. This S-1 filing is a prerequisite for Vivos Therapeutics to potentially offer its securities to the public, which could provide capital for growth or operations. As a smaller reporting and emerging growth company, Vivos Therapeutics may benefit from certain regulatory accommodations, but also faces scrutiny regarding its financial health and business prospects.

Risk Assessment

Risk Level: low — Vivos Therapeutics, Inc. shows low risk based on this filing. The risk is currently low as this is a preliminary filing and no specific financial performance or offering details are yet available.

Analyst Insight

Monitor for subsequent filings that detail the proposed offering size, price, and use of proceeds.

Key Numbers

• 20240409 — Filing Date (Date of S-1 filing)
• 0001493152-24-013987 — Accession Number (Unique identifier for the filing)
• 333-278564 — SEC File Number (SEC registration file number)
• 20170901 — Name Change Date (Date of former name change)

Key Players & Entities

• Vivos Therapeutics, Inc. (company) — Registrant name
• SEC (regulator) — U.S. Securities and Exchange Commission
• Delaware (company) — State of incorporation
• Littleton, Colorado (company) — Principal executive offices location
• Vivos BioTechnologies, Inc. (company) — Former company name
• R. Kirk Huntsman (person) — Chairman of the Board and Chief Executive Officer

FAQ

Industry Context

Vivos Therapeutics operates in the medical device and healthcare sector, focusing on treatments related to breathing and sleep disorders.

Regulatory Implications

The S-1 filing is made under the Securities Act of 1933, which governs the registration of securities offered to the public.

What Investors Should Do

1. Review the full S-1 filing for detailed financial information and business strategy.
2. Track future SEC filings for updates on potential stock offerings and their terms.
3. Analyze the company's competitive landscape and market position within the sleep disorder treatment industry.

Key Dates

• 2024-04-09: S-1 Filing — Registration statement filed with the SEC.
• 2017-09-01: Name Change — Vivos BioTechnologies, Inc. changed its name to Vivos Therapeutics, Inc.

Year-Over-Year Comparison

This is the initial S-1 filing for Vivos Therapeutics, Inc. under its current name, indicating a move towards a public offering.

Key Financial Figures

• $0.0001 — 7,259 shares of common stock, par value $0.0001 per share (or the Common Stock), of Viv
• $3.01 — common stock as reported on Nasdaq was $3.01 per share. We are an &ldquo;emerging
• $8,000,000 — ch we agreed sell up to an aggregate of $8,000,000 of securities of the Company of units.
• $30 — iated Common Stock Purchase Warrant was $30.00, and the purchase price per Pre-Fund
• $29.9998 — iated Common Stock Purchase Warrant was $29.9998. We are registering the warrant shares
• $4,000,003.44 — rsuant to which we sold an aggregate of $4,000,003.44 of securities in a private placement co
• $3.83 — Common Stock with an exercise price of $3.83 per share and (iii) an 18-month Series
• $3.5 million — received net proceeds of approximately $3.5 million. As of January 31, 2024, all of the pre

Filing Documents

• forms-1.htm (S-1) — 418KB
• ex5-1.htm (EX-5.1) — 16KB
• ex23-1.htm (EX-23.1) — 4KB
• ex23-2.htm (EX-23.2) — 4KB
• ex107.htm (EX-FILING FEES) — 23KB
• forms-1_001.jpg (GRAPHIC) — 7KB
• 0001493152-24-013987.txt (&nbsp;) — 475KB

From the Filing

filed with the U.S. Securities and Exchange Commission on April 8, 2024 Registration No. 333-[____] UNITED SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION Vivos Therapeutics, Inc. (Exact name of registrant as specified in its charter) Delaware 8011 81-3224056 (State or jurisdiction of incorporation or organization) (Primary (IRS Employer Identification No.) 7921 Southpark Plaza, Suite 210 Littleton, Colorado 80120 (844) 672-4357 (Address, including zip code, and telephone number, including area code, of registrant&rsquo;s principal executive offices) R. Kirk Huntsman Chairman of the Board and Chief Executive Officer Vivos Therapeutics, Inc. 7921 Southpark Plaza, Suite 210 Littleton, Colorado 80120 (844) 672-4357 (Name, address, including zip code, and telephone number, including area code, of agent for service) Copies to: Barry I. Grossman, Esq. Lawrence A. Rosenbloom, Esq. Ellenoff Grossman & Schole LLP 1345 Avenue of the Americas New York, New York 10105 Telephone: (212) 370-1300 Approximate date of commencement of proposed sale to the public : As soon as practicable after the effective date of this Registration Statement. If any of the securities being registered on this form are to be offered on a delayed or continuous basis pursuant to Rule 415 under the Securities Act of 1933, check the following box. If this form is filed to register additional securities for an offering pursuant to Rule 462(b) under the Securities Act, please check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. If this form is a post-effective amendment filed pursuant to Rule 462(c) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. If this form is a post-effective amendment filed pursuant to Rule 462(d) under the Securities Act, check the following box and list the Securities Act registration statement number of the earlier effective registration statement for the same offering. Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of &ldquo;large accelerated filer,&rdquo; &ldquo;accelerated filer,&rdquo; &ldquo;smaller reporting company,&rdquo; and &ldquo;emerging growth company&rdquo; in Rule 12b-2 of the Exchange Act. Large accelerated filer Accelerated reporting company 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 7(a)(2)(B) of the Securities Act. The Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until the Registration Statement shall become effective on such date as the Securities and Exchange Commission (the &ldquo;SEC&rdquo;), acting pursuant to said Section 8(a), may determine. The information in this prospectus is not complete and may be changed. The securities in this registration statement may not be sold until the registration statement filed with the Securities and Exchange Commission is effective. This prospectus is not an offer to sell these securities and it is not soliciting an offer to buy these securities in any jurisdiction where the offer or sale is not permitted. PRELIMINARY PROSPECTUS 1,737,259 shares common stock This prospectus relates to the offer for sale of up to an aggregate of 1,737,259 shares of common stock, par value $0.0001 per share (or the Common Stock), of Vivos Therapeutics, Inc. by the selling stockholder named herein (who we refer to as the selling stockholder), which is comprised of: (i) 266,667 shares of Common Stock underlying a common stock purchase warrant issued to the selling stockholder in a private placement on January 9, 2023 (the &ldquo;January 2023 Warrant&rdquo; and the shares of Common Stock underlying the January 2023 Warrant, the &ldquo;January 2023 Warrant Shares&rdquo;)), (ii) 735,296 shares of Common Stock underlying a 5-year, Series B-1 common stock purchase warrant issued to the selling stockholder in a private placement on February 20, 2024, and (ii) 735,296 shares of Common Stock underlying a 5-year, Series B-2 common stock purchase warrant issued to the selling stockholder in a private placement on February 20, 2024 (together with the B-1 common stock purchase warrant, the &ldquo;Inducement

View Full Filing

View this S-1 filing on SEC EDGAR