Vivos Therapeutics regains Nasdaq stockholders' equity compliance
Nasdaq's Listing Qualifications staff said on October 20, 2026 that Vivos Therapeutics now meets the $2.5 million minimum stockholders' equity requirement, based on the company's October 19, 2026 8-K. The company said the SOD transaction, which included issuing Series C Convertible Preferred Stock, drove the improvement, but Nasdaq said the company could still face delisting if it does not show compliance in its next periodic report, and the preferred stock is convertible into up to 80,000,000 common shares, which could dilute existing holders.
Key points
- Nasdaq letter dated October 20, 2026 says Vivos complies with the $2.5 million stockholders' equity minimum under Listing Rule 5550(b)(1).
- Series C Convertible Preferred Stock with an aggregate stated value of $12,000,000 was issued as part of the SOD Sciences transaction, and is expected to increase stockholders' equity by more than $10 million.
- Preferred stock converts at $0.15 per share into up to 80,000,000 common shares, subject to a 19.99% exchange cap pending stockholder approval.
- Nasdaq said the company may be delisted if it does not evidence compliance upon filing its next periodic report.
The filing
Written by AI on Nov 9, 2026, 8:53 AM ET, from this filing only. Written later: this filing was briefed after the fact, when past filings were added to the site, so the brief may be read with hindsight; the filing itself is the record of what was known on October 21, 2026.
Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.