VIVOS INC: 10% owner Cadwell Carlton M received 635,302 shares

What happened Cadwell Carlton M, a 10% owner, disposed of 385,302 shares of Series C convertible preferred and acquired 635,302 shares of Series D convertible preferred on Oct 7, 2026. Per the filing, 385,302 Series C were exchanged for 385,302 Series D, and an additional 250,000 Series D were purchased for $250,000; the reported transaction types were a disposition to the issuer (D) and an award/grant or other acquisition (A). The transaction reports derivative securities with N/A reported prices for the exchange portion.

Key details

• Transaction date: Oct 7, 2026; filing date: Oct 8, 2026 (filed timely).
• Disposition: 385,302 shares of Series C convertible preferred exchanged for 385,302 Series D convertible preferred (derivative exchange).
• Acquisition: 250,000 Series D convertible preferred purchased for $250,000; total Series D received: 635,302 shares.
• Shares owned after the transaction: not stated in the Form 4.
• Footnotes: a Stock Purchase and Exchange Agreement dated Oct 7, 2026 documents the exchange and purchase and states the transaction was exempt from Section 16(b) under Rule 16b-3; Series C and Series D convertible preferred are convertible at any time at the holder's election and do not expire (F1–F3).

Why it may matter

• The filing shows an exchange of one series of convertible preferred for another and a purchase of additional Series D convertible preferred.
• The reporting person is a 10% owner, which indicates a large holder rather than an executive title in the filing.
• This filing does not show why the insider traded or why the company acted.