The delisting risk is deferred but not eliminated — the next periodic report (likely the 10-Q or 10-K) will be the key catalyst. Monitor for stockholder approval to lift the 19.99% exchange cap, which would enable full conversion of the preferred stock into up to 80 million common shares, creating massive dilution.
Price Chart
Executive Summary
Vivos Therapeutics received a letter from Nasdaq on October 20, 2026 confirming compliance with the minimum stockholders' equity requirement (Listing Rule 5550(b)(1)), following the issuance of $12 million in Series C Convertible Preferred Stock in connection with its acquisition of an 11% stake in SOD Sciences. The delisting risk is temporarily resolved, but Nasdaq warned that failure to demonstrate compliance at the next periodic report could lead to delisting proceedings.
Key Facts
- Nasdaq confirmed compliance with minimum stockholders' equity of $2.5 million on October 20, 2026.
- Compliance was achieved through the issuance of 12,000 shares of Series C Convertible Preferred Stock with an aggregate stated value of $12,000,000.
- The preferred stock is convertible at $0.15 per share into up to 80,000,000 common shares, subject to a 19.99% exchange cap and a 4.99% beneficial ownership limitation.
- The preferred stock is expected to increase stockholders' equity by more than $10 million, subject to final purchase price accounting.
- Nasdaq stated that if Vivos fails to evidence compliance upon filing its next periodic report, it may be subject to delisting.
Financial Impact
Issuance of $12,000,000 in Series C Convertible Preferred Stock expected to increase stockholders' equity by more than $10 million, resolving the Nasdaq equity deficiency.
Risk Factors
- Failure to maintain compliance at the next periodic report could trigger delisting.
- Conversion of Series C Preferred Stock at $0.15 per share could dilute existing common shareholders by up to 80 million shares if the exchange cap is lifted.
- Final purchase price accounting may result in a lower-than-expected equity increase.
Investment Themes
Documents Analyzed
This report is based on 5 SEC documents filed with EDGAR.
| Document | Accession Number |
|---|---|
| 8-K Filing (Primary) | 0001493152-26-047841 |
| Exhibit: ex99-1.htm | 0001493152-26-047841 |
| Document: 0001493152-26-047841-index-headers.html | 0001493152-26-047841 |
| Document: 0001493152-26-047841-index.html | 0001493152-26-047841 |
| Document: 0001493152-26-047841.txt | 0001493152-26-047841 |
Filters
| Type | Now | ||||
|---|---|---|---|---|---|
Oct 21, 2026 5d ago | 8-K | $0.1347 | awaiting T+60 | — | $0.1313 (−2.52%) |
Oct 19, 2026 7d ago | Press Release | $0.1410 | awaiting T+60 | — | $0.1313 (−6.88%) |
Oct 19, 2026 7d ago | 8-K | $0.1406 | awaiting T+60 | — | $0.1313 (−6.61%) |
Oct 15, 2026 11d ago | 8-K | $0.1428 | awaiting T+60 | — | $0.1313 (−8.05%) |
Oct 15, 2026 11d ago | Press Release | $0.1428 | awaiting T+60 | — | $0.1313 (−8.05%) |
Sep 30, 2026 25d ago | 8-K | $0.1490 | awaiting T+60 | — | $0.1313 (+11.88%) |
Aug 28, 2026 8w ago | Press Release | $0.2249 | awaiting T+60 | — | $0.1313 (−41.62%) |
Aug 21, 2026 9w ago | 8-K | $0.2768 | awaiting T+60 | — | $0.1313 (−52.57%) |
Aug 14, 2026 10w ago | Press Release | $0.3012 | awaiting T+60 | — | $0.1313 (+56.41%) |
Aug 14, 2026 10w ago | Press Release | $0.3433 | awaiting T+60 | — | $0.1313 (−61.75%) |
US Market Status
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