KATZAROFF JAMES C 5

Accession 0001415889-18-000258

CIK 0001449349other

View on SEC.gov Company Profile

Filed

Feb 15, 7:00 PM ET

Accepted

Feb 16, 3:36 PM ET

Size

106.0 KB

Accession

0001415889-18-000258

Insider Transaction Report

Form 5

Period: 2017-12-31

VIVOS INCRDGL

KATZAROFF JAMES C

DirectorCEO10% Owner

Transactions

Sale
Common Stock
2017-05-17$0.10/sh−10,000$1,000→ 1,064,246 total
Sale
Common Stock
2017-05-24$0.12/sh−10,000$1,200→ 1,064,246 total
Sale
Common Stock
2017-04-07$0.12/sh−10,000$1,200→ 1,064,246 total
Conversion
Common Stock
2017-02-02$0.50/sh+1,545,400$772,700→ 1,064,246 total
Award
Common Stock
2017-07-21+1,500,000→ 1,064,246 total
Sale
Common Stock
2017-04-17$0.12/sh−10,000$1,200→ 1,064,246 total
Sale
Common Stock
2017-04-28$0.11/sh−10,000$1,100→ 1,064,246 total
Sale
Common Stock
2017-05-02$0.11/sh−20,000$2,200→ 1,064,246 total
Sale
Common Stock
2017-08-30$0.07/sh−11,882$832→ 1,064,246 total
Sale
Common Stock
2017-09-05$0.07/sh−22,141$1,550→ 1,064,246 total
Sale
Common Stock
2017-09-19$0.06/sh−10,000$600→ 1,064,246 total
Sale
Common Stock
2017-09-20$0.07/sh−15,000$1,050→ 1,064,246 total
Conversion
Series A Convertible Preferred Stock
2017-02-02−154,540→ 150,000 total
Exercise: $0.50From: 2016-04-15→ Common Stock (1,545,400 underlying)
Sale
Common Stock
2017-05-01$0.12/sh−33,859$4,063→ 1,064,246 total
Sale
Common Stock
2017-06-06$0.09/sh−20,000$1,800→ 1,064,246 total
Sale
Common Stock
2017-07-24$0.08/sh−25,000$2,000→ 1,064,246 total
Sale
Common Stock
2017-09-15$0.06/sh−15,000$900→ 1,064,246 total
Sale
Common Stock
2017-10-09$0.08/sh−15,000$1,200→ 1,064,246 total
Award
Series A Convertible Preferred Stock
2017-05-31+10,000→ 10,000 total(indirect: By Spouse)
Exercise: $0.50From: 2016-04-15→ Common Stock (100,000 underlying)
Award
Series A Convertible Preferred Stock
2017-07-21+150,000→ 150,000 total
Exercise: $0.50From: 2016-04-15→ Common Stock (1,500,000 underlying)
Sale
Common Stock
2017-09-29$0.08/sh−25,000$2,000→ 1,064,246 total
Award
Common Stock
2017-05-31+600,000→ 600,540 total(indirect: By Spouse)
Sale
Common Stock
2017-03-30$0.13/sh−35,000$4,550→ 1,064,246 total
Sale
Common Stock
2017-03-31$0.14/sh−10,000$1,400→ 1,064,246 total
Sale
Common Stock
2017-04-11$0.13/sh−30,000$3,900→ 1,064,246 total
Sale
Common Stock
2017-04-20$0.12/sh−10,000$1,200→ 1,064,246 total
Sale
Common Stock
2017-04-28$0.11/sh−5,000$550→ 1,064,246 total
Sale
Common Stock
2017-05-04$0.11/sh−15,000$1,650→ 1,064,246 total
Sale
Common Stock
2017-05-23$0.10/sh−25,000$2,500→ 1,064,246 total
Sale
Common Stock
2017-07-21$0.08/sh−25,000$2,000→ 1,064,246 total
Sale
Common Stock
2017-07-25$0.08/sh−20,000$1,600→ 1,064,246 total
Sale
Common Stock
2017-08-07$0.07/sh−23,016$1,611→ 1,064,246 total
Sale
Common Stock
2017-09-11$0.07/sh−22,000$1,540→ 1,064,246 total

Footnotes (4)

[F1]Shares issued to Reporting Person's spouse as payment of $66,092.56 owed for services rendered to the Issuer prior to Ms. Katzaroff's resignation.
[F2]Shares issued to Reporting Person as payment of $206,071.51 owed for services rendered to the Issuer prior to the Reporting Person's resignation.
[F3]See Exhibit 99.1 for additional transactions.
[F4]The Series A Convertible Preferred Stock has no expiration date.

Documents

2 files

Issuer

VIVOS INC

CIK 0001449349

→

Entity typeother

Related Parties

filerCIK 0001286868

Filing Metadata

Form type: 5
Filed: Feb 15, 7:00 PM ET
Accepted: Feb 16, 3:36 PM ET
Size: 106.0 KB

View on SEC.gov