Vivos (RDGL) Form 5 VIVOS / JAMES C KATZAROFF ownership change

SEC Form 5

FORM 5

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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X

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Form 3 Holdings Reported.

X

Form 4 Transactions Reported.

1. Name and Address of Reporting Person^*

KATZAROFF JAMES C

(Last) (First) (Middle)

C/O VIVOS INC

719 JADWIN AVENUE

(Street)

RICHLAND WA 99352

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
VIVOS INC [ RDGL ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2017

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)	4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
				Amount	(A) or (D)	Price
Common Stock	02/02/2017		C4	1,545,400	A	$0.5	1,064,246	D
Common Stock	05/31/2017		A4	600,000	A	(1)	600,540	I	By Spouse
Common Stock	07/21/2017		A4	1,500,000	A	(2)	1,064,246	D
Common Stock	03/30/2017		S4	35,000	D	$0.13	1,064,246	D
Common Stock	03/31/2017		S4	10,000	D	$0.14	1,064,246	D
Common Stock	04/07/2017		S4	10,000	D	$0.12	1,064,246	D
Common Stock	04/11/2017		S4	30,000	D	$0.13	1,064,246	D
Common Stock	04/17/2017		S4	10,000	D	$0.12	1,064,246	D
Common Stock	04/20/2017		S4	10,000	D	$0.12	1,064,246	D
Common Stock	04/28/2017		S4	10,000	D	$0.11	1,064,246	D
Common Stock	04/28/2017		S4	5,000	D	$0.11	1,064,246	D
Common Stock	05/01/2017		S4	33,859	D	$0.12	1,064,246	D
Common Stock	05/02/2017		S4	20,000	D	$0.11	1,064,246	D
Common Stock	05/04/2017		S4	15,000	D	$0.11	1,064,246	D
Common Stock	05/17/2017		S4	10,000	D	$0.1	1,064,246	D
Common Stock	05/23/2017		S4	25,000	D	$0.1	1,064,246	D
Common Stock	05/24/2017		S4	10,000	D	$0.12	1,064,246	D
Common Stock	06/06/2017		S4	20,000	D	$0.09	1,064,246	D
Common Stock	07/21/2017		S4	25,000	D	$0.08	1,064,246	D
Common Stock	07/24/2017		S4	25,000	D	$0.08	1,064,246	D
Common Stock	07/25/2017		S4	20,000	D	$0.08	1,064,246	D
Common Stock	08/07/2017		S4	23,016	D	$0.07	1,064,246	D
Common Stock	08/30/2017		S4	11,882	D	$0.07	1,064,246	D
Common Stock	09/05/2017		S4	22,141	D	$0.07	1,064,246	D
Common Stock	09/11/2017		S4	22,000	D	$0.07	1,064,246	D
Common Stock	09/15/2017		S4	15,000	D	$0.06	1,064,246	D
Common Stock	09/19/2017		S4	10,000	D	$0.06	1,064,246	D
Common Stock	09/20/2017		S4	15,000	D	$0.07	1,064,246	D
Common Stock	09/29/2017		S4	25,000	D	$0.08	1,064,246	D
Common Stock	10/09/2017		S4	15,000	D	$0.08	1,064,246(3)	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)	5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
					(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Series A Convertible Preferred Stock	$0.5	02/02/2017		4C		154,540	04/15/2016	(4)	Common Stock	1,545,400	$0	150,000	D
Series A Convertible Preferred Stock	$0.5	05/31/2017		4A	10,000		04/15/2016	(4)	Common Stock	100,000	(1)	10,000	I	By Spouse
Series A Convertible Preferred Stock	$0.5	07/21/2017		4A	150,000		04/15/2016	(4)	Common Stock	1,500,000	(2)	150,000	D

Explanation of Responses:

1. Shares issued to Reporting Person's spouse as payment of $66,092.56 owed for services rendered to the Issuer prior to Ms. Katzaroff's resignation.

2. Shares issued to Reporting Person as payment of $206,071.51 owed for services rendered to the Issuer prior to the Reporting Person's resignation.

3. See Exhibit 99.1 for additional transactions.

4. The Series A Convertible Preferred Stock has no expiration date.

	/s/ James C. Katzaroff	02/16/2018
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
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