Recent Updates — VVOS

The Nasdaq Listing Qualifications staff notified Vivos Therapeutics that it currently meets the minimum stockholders’ equity requirement of $2.5 million under Listing Rule 5550(b)(1). This compliance follows a transaction with SOD Sciences, Inc., where the company issued Series C Convertible Preferred Stock with an aggregate stated value of $12 million, which is expected to increase equity by more than $10 million. Nasdaq warned that failure to demonstrate continued compliance in the next periodic report could result in delisting proceedings. Vivos Therapeutics operates as a medical technology and healthcare services company focused on developing diagnostic and treatment methods for obstructive sleep apnea.

Vivos Therapeutics closed its acquisition of an 11% equity interest in SOD Sciences and a 50% co-ownership interest in SOD’s pseudohypoxia early-warning test. In exchange, Vivos issued 12,000 shares of Series C Convertible Preferred Stock with an aggregate stated value of $12 million to SOD. The transaction is expected to increase Vivos' stockholders' equity by more than $10 million, potentially helping the company regain compliance with Nasdaq’s minimum equity listing requirement. Vivos will share revenue and costs related to the test equally with SOD and plans to negotiate joint marketing agreements to access new patient channels.

Vivos Therapeutics entered into a Mutual Stock Purchase and Asset Exchange Agreement with SOD Sciences to acquire an 11% fully diluted equity interest in SOD and a 50% co-ownership interest in its proprietary pseudohypoxia early-warning test. In exchange, Vivos will issue 12,000 shares of newly created Series C Convertible Preferred Stock with an aggregate stated value of $12 million. The transaction involves no cash consideration and is expected to close on October 15, 2026, subject to customary conditions including auditor concurrence and Nasdaq notification. Vivos intends the preferred stock to be classified in permanent equity to help regain compliance with Nasdaq’s minimum stockholders’ equity requirement of $2.5 million. The deal opens potential collaboration opportunities through SOD’s relationships with Cleveland Clinic Weston and American Health Associates. Vivos Therapeutics is a medical technology company focused on developing diagnostic and treatment methods for obstructive sleep apnea.

Vivos Therapeutics, Inc. dismissed Baker Tilly US, LLP as its independent registered public accounting firm effective September 29, 2026, and engaged Haynie & Company to serve as the new auditor for the fiscal year ending December 31, 2026. The previous auditor, Baker Tilly (successor to Moss Adams), served from May 2023 through September 2026; their reports for fiscal years 2024 and 2025 included explanatory paragraphs expressing substantial doubt regarding the company's ability to continue as a going concern. There were no disagreements with Baker Tilly on accounting principles or auditing scope, nor any reportable events. Prior to engagement, Haynie was consulted in August 2026 regarding a proposed joint venture transaction under evaluation; however, the transaction was not signed or consummated. Vivos Therapeutics operates in the medical device industry, developing implantable neuromodulation devices for sleep-disordered breathing.

Vivos Therapeutics exchanged $2,861,270 of principal from its Secured Promissory Note with Streeterville Capital for 11,445,080 shares of common stock at an average price of $0.25 per share on September 2, 2026. The transaction reduced the note's outstanding balance to $3.7 million and increased issued and outstanding shares from approximately 22.2 million to 33.6 million. This issuance represents approximately 34% of the post-transaction common stock base. Vivos Therapeutics operates in the medical device industry, developing implantable neuromodulation devices for sleep-disordered breathing.

Vivos Therapeutics entered into twelve exchange agreements with Streeterville Capital to partition $2,861,270 of its Secured Promissory Note into separate notes. In exchange for the surrender and cancellation of these Partitioned Notes, Vivos agreed to issue up to 11,445,080 shares of common stock at an average price of $0.25 per share. Issuance is subject to a 4.9% beneficial ownership limitation and a sell-down condition requiring Streeterville to dispose of prior issuances before receiving new ones. Following the transaction, the outstanding note balance was reduced to $3.7 million, and total common shares outstanding will increase from approximately 22.2 million to 33.6 million. Vivos Therapeutics develops medical devices for obstructive sleep apnea.