RDGL: Cadwell Carlton M reports shares returned to the company and a stock award
By AlphaYouPublished Form 4
Cadwell Carlton M
Reporting filer
Cadwell Carlton M reports shares returned to the company and a stock award, not an open-market purchase or sale, in Vivos Inc. Form 4 filed Oct 8, 2026 lists 2 entries.
- Disclosed
- Oct 8, 2026
Reported details
2 entries| Security | Owner | Date | Code | Action | Quantity | Price | Following holdings | Reporting delay | Filed terms and references |
|---|---|---|---|---|---|---|---|---|---|
| Series C Convertible Preferred (derivative) | Cadwell Carlton M | 2026-10-07 | D | Disposition to issuer | 385302 | Not stated (see footnotes) | 0 | 1 day | Filed terms
|
| Series D Convertible Preferred (derivative) | Cadwell Carlton M | 2026-10-07 | A | Grant or award | 635302 | Not stated (see footnotes) | 635,302 | 1 day | Filed terms
|
Series C Convertible Preferred (derivative)
- Owner
- Cadwell Carlton M
- Date
- 2026-10-07
- Code
- D
- Action
- Disposition to issuer
- Quantity
- 385302
- Price
- Not stated (see footnotes)
- Following holdings
- 0
- Reporting delay
- 1 day
- Filed terms and references
Filed terms
- security Title: Series C Convertible Preferred
- conversion Or Exercise Price: 0.08
- transaction Date: 2026-10-07
- transaction Form Type: 4
- transaction Code: D
- equity Swap Involved: 0
- id: F1
- transaction Shares: 385302
- id: F1
- transaction Acquired Disposed Code: D
- id: F2
- id: F2
- underlying Security Title: Common Stock
- underlying Security Shares: 4816275
- shares Owned Following Transaction: 0
- direct Or Indirect Ownership: D
- nature Of Ownership:
Series D Convertible Preferred (derivative)
- Owner
- Cadwell Carlton M
- Date
- 2026-10-07
- Code
- A
- Action
- Grant or award
- Quantity
- 635302
- Price
- Not stated (see footnotes)
- Following holdings
- 635,302
- Reporting delay
- 1 day
- Filed terms and references
Filed terms
- security Title: Series D Convertible Preferred
- conversion Or Exercise Price: 0.08
- transaction Date: 2026-10-07
- transaction Form Type: 4
- transaction Code: A
- equity Swap Involved: 0
- id: F1
- transaction Shares: 635302
- id: F1
- transaction Acquired Disposed Code: A
- id: F3
- id: F3
- underlying Security Title: Common Stock
- underlying Security Shares: 7941275
- shares Owned Following Transaction: 635302
- direct Or Indirect Ownership: D
- nature Of Ownership:
Purchases, sales, grants and option exercises are different transactions. The reported code identifies the action; it does not establish a motive.
Filing context
- Quantities and prices are shown in the units filed. No trade value is inferred from their product.
- Cadwell Carlton M: Director, 10% owner.
- F1: Pursuant to a Stock Purchase and Exchange Agreement, dated as of October 7, 2026, the Reporting Person received (i) 385,302 shares of Series D Convertible Preferred in exchange for 385,302 shares of Series C Convertible Preferred; and (ii) 250,000 shares of Series D Preferred for the purchase price of $250,000. The transaction was exempt from Section 16(b) of the Securities Exchange Act of 1934 (the "Act") pursuant to Rule 16b-3 promulgated under the Act.
- F2: The Series C Convertible Preferred is convertible at any time, at the holder's election, and does not expire.
- F3: The Series D Convertible Preferred is convertible at any time, at the holder's election, and does not expire.
Original sources
Prepared automatically from public filing data. Report a correction.