Vivos Therapeutics, Inc.
For the period ended Dec 31, 2025. Filed Apr 15, 2026.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2025 · Filed Apr 15, 2026
VVOS$0.09-9.9%Stored close · as of Nov 10, 2026
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Item 15. Exhibits and Financial Statement Schedules
(a) List of documents filed as part of this Annual Report on Form 10-K:
(1) Financial Statements
The consolidated financial statements, together with the reports thereon of Baker Tilly, LLP dated March 31, 2026, respectively, is included in Part II, Item 8 of this document and filed as part of this Annual Report on Form 10-K.
(2) Financial Statement Schedules
All schedules are omitted because they are not applicable or the amounts are immaterial or the required information is presented in the consolidated financial statements and notes thereto in Part II, Item 8 above.
(3) Exhibits
The following documents are filed as exhibits to this Annual Report on Form 10-K.
| Exhibit No. | Exhibit Description |
| 3.1 | Certificate of Incorporation of Vivos Therapeutics, Inc. filed with Delaware Secretary of State on August 12, 2020. (1) |
| 3.2 | Amended and Restated Bylaws of Vivos Therapeutics, Inc. (1) |
| 3.3 | Certificate of Conversion filed with Delaware Secretary of State on August 12, 2020. (1) |
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| 3.4 | Certificate of Amendment to the Certificate of Incorporation of Vivos Therapeutics, Inc., dated October 25, 2023.(8) |
| 4.1 | Form of Stock Certificate. (1) |
| 4.2 | Form of Representative’s Warrant in connection with the Company’s initial public offering. (2) |
| 4.3 | Form of Representative’s Warrant in connection with the Company’s May 2021 follow-on offering. (10) |
| 4.4 | Pre-Funded Warrant, dated June 10, 2024, issued to V-CO Investors LLC. (13) |
| 4.5 | Warrant, dated June 10, 2024, issued to V-CO Investors LLC. (13) |
| 4.6 | Form of Purchase Warrant (16) |
| 4.7 | Form of Placement Agent Warrant (16) |
| 4.8 | Convertible Promissory Note, dated May 21, 2025, made by the Company in favor of V-Co Investors 2 LLC(5) |
| 4.9 | Pre-Funded Warrant, dated June 9, 2025, by and between the Company and V-Co 2.(7) |
| 4.10 | Common Stock Purchase Warrant, dated June 9, 2025, by and between the Company and V-Co 2. (7) |
| 4.11 | Form of Series A Common Stock Purchase Warrant for January 2026 Inducement(18) |
| 4.12 | Form of Series B Common Stock Purchase Warrant for January 2026 Inducement(18) |
| 4.13 | Form of Placement Agent Warrant for January 2026 Inducement(18) |
| 4.14 | Pre-Funded Warrant, dated March 31, 2026 by and between the Company and V-Co 3 for January 2026 Warrant Inducement. (19) |
| 4.15 | Series A Common Stock Purchase Warrant, dated March 31, 2026, by and between the Company and V-Co 3 for January 2026 Warrant Inducement. (19) |
| 4.16 | Series B Common Stock Purchase Warrant, dated March 31, 2026, by and between the Company and V-Co 3 for January 2026 Warrant Inducement. (19) |
| 10.1 | Amended and Restated Executive Employment Agreement, dated October 8, 2020, between R. Kirk Huntsman and Vivos Therapeutics, Inc. (3) † |
| 10.2 | Amended and Restated Executive Employment Agreement, dated October 8, 2020, between Bradford Amman and Vivos Therapeutics, Inc. (3) † |
| 10.3 | Vivos Therapeutics, Inc. 2017 Stock Option and Stock Issuance Plan. (1) |
| 10.4 | Vivos Therapeutics, Inc. 2019 Stock Option and Stock Issuance Plan. (1) |
| 10.5 | Licensing, Distribution, and Marketing Agreement dated February 12, 2021 between the Company and MyCardio, LLC. (9)+ |
| 10.6 | Amended and Restated Employment Agreement, dated January 1, 2025, between the Company and R. Kirk Huntsman(3)†+ |
| 10.7 | Amended and Restated Employment Agreement, dated January 1, 2025, between the Company and Bradford Amman(3)†+ |
| 10.8 | Asset Purchase Agreement, dated April 15, 2025, by and among Company, SCN and its shareholders(4) |
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| 10.9 | Security Agreement, dated May 21, 2025, by and between the Company and V-Co Investors 2 LLC(5) |
| 10.10 | Securities Purchase Agreement, dated June 9, 2025, by and between the Company and V-Co 2.(7) |
| 10.11 | Note Purchase Agreement, dated June 9, 2025, by and between the Company and Streeterville Capital, LLC.(7) |
| 10.12 | Secured Promissory Note, dated June 9, 2025, made by the Company in favor of Streeterville Capital, LLC.(7) |
| 10.13 | Security Agreement, dated June 9, 2025, by and between AIM and Streeterville Capital, LLC.(7) |
| 10.15 | Guaranty Agreement, dated June 9, 2025, by and between AIM and Streeterville Capital, LLC. (7) |
| 10.16 | Pledge Agreement, dated June 9, 2025, by and between the Company and Streeterville Capital, LLC. (7) |
| 10.17 | Practice Administration Agreement, dated June 10, 2025, by and between AIM and SCN.(7)+ |
| 10.18 | Practice Administration Agreement, dated June 10, 2025, by and between AIM and SCN PLLC. (7)+ |
| 10.19 | Physician Employment Agreement, dated June 10, 2025, by and between SCN and Prabhu Rachakonda, M.D (7)+ |
| 10.20 | Note Purchase Agreement, dated December 5, 2025, by and between the Company and Avondale Capital, LLC (8). |
| 10.21 | Promissory Note, dated December 5, 2025, made by the Company in favor of Avondale Capital, LLC. (8). |
| 10.22 | Guaranty Agreement, dated December 5, 2025, by and between AIM and Avondale Capital, LLC(8). |
| 10.23 | Securities Purchase Agreement by and between the Company and V-CO Investors LLC, dated as of June 10, 2024 (14) |
| 10.24 | Strategic Alliance Agreement by and between VIS Providers, PLLC and Rebis Health Holdings, LLC, dated as of June 10, 2024 (14) |
| 10.25 | Management Services Agreement by and between the Company, Airway Integrated Management Company, LLC, and V-CO Investors LLC, dated as of June 10, 2024 (14) |
| 10.26 | Form of Purchase Agreement for September 2024 financing (15) |
| 10.27 | Form of Placement Agent Warrant for September 2024 financing (15) |
| 10.28 | Form of Purchase Agreement for December 2024 financing (16) |
| 10.29 | Convertible Promissory Note, dated January 15, 2026, made by the Company in favor of V-Co Investors 3 LLC(17) |
| 10.30 | Securities Purchase Agreement, dated March 31, 2026, by and between the Company and V-Co 3 for March 2026 PIPE Offering.(19) |
| 10.31 | Warrant Inducement Agreement, dated February 15, 2026, by and between the Company and the Holder(18) |
| 19.1 | Insider Trading Policy and Compliance Manual (11) |
| 21.1 | List of Subsidiaries.* |
| 23.1 | Consent of Baker Tilly US, LLP.* |
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| 31.1 | Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (*) |
| 31.2 | Certification of the Chief Financial Officer pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. (*) |
| 32.1 | Certification of the Chief Executive Officer pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (*)# |
| 32.2 | Certification of the Chief Financial Officer pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (*)# |
| 97.1 | Policy Relating to Recovery of Erroneously Awarded Compensation., adopted as of December 1, 2023 (12) |
| 101.INS* | Inline XBRL Instance Document |
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). |
| * | Filed herewith |
| (1) | Incorporated by reference to the Company’s Registration Statement on Form S-1, filed with the SEC on October 9, 2020. |
| (2) | Incorporated by reference to the Company’s Registration Statement on Form S-1/A, filed with the SEC on November 19, 2020. |
| (3) | Incorporated by reference to the Company’s Registration Statement on Form 8-K, filed with the SEC on February 14, 2025. |
| (4) | Incorporated by reference to the Company’s Registration Statement on Form 8-K, filed with the SEC on April 17, 2025. |
| (5) | Incorporated by reference to the Company’s Registration Statement on Form 8-K, filed with the SEC on May 23, 2025. |
| (6) | Incorporated by reference to the Company’s Registration Statement on Form 8-K, filed with the SEC on May 23, 2025. |
| (7) | Incorporated by reference to the Company’s Registration Statement on Form 8-K, filed with the SEC on June 13, 2025. |
| (8) | Incorporated by reference to the Company’s Registration Statement on Form 8-K, filed with the SEC on December 5, 2025. |
| (9) | Incorporated by reference to the Company’s Annual Report on Form 10-K, filed with the SEC on March 25, 2021. |
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| (10) | Incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on May 12, 2021. |
| (11) | Incorporated by refence to the Company’s Annual Report on Form 10-K, filed with the SEC on March 30, 2023. |
| (12) | Incorporated by reference to the Company’s Annual Report on Form 10-K, filed with the SEC on March 28, 2024. |
| (13) | Incorporated by reference to the Company’s Registration Statement on Form S-3, filed with the SEC on July 30, 2024. |
| (14) | Incorporated by reference to the Company’s Quarterly Report for the period ended June 30, 2024, filed with the SEC on August 14, 2024. |
| (15) | Incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on September 20, 2024. |
| (16) | Incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on December 23, 2024. |
| (17) | Incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on January 16, 2026. |
| (18) | Incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on January 20, 2026. |
| (19) | Incorporated by reference to the Company’s Current Report on Form 8-K, filed with the SEC on April 3, 2026 |
| † | Includes management contracts and compensation plans and arrangements |
| + | Certain portions of this exhibit have been omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K. The Company will furnish supplementally an unredacted copy of such exhibit to the U.S. Securities and Exchange Commission or its staff upon request. |
| # | A signed original of this written statement required by Section 906 has been provided to the Company and will be retained by the Company and furnished to the Securities and Exchange Commission or its staff upon request. |
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