UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 OR 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 26, 2022 (August 25, 2022)
Vivos Therapeutics, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | | 001-39796 | | 81-3224056 |
| (State or other jurisdiction | | (Commission | | (I.R.S. Employer |
| of incorporation) | | File Number) | | Identification No.) |
7921 Southpark Plaza, Suite 210
Littleton, Colorado 80120
(Address of principal executive offices) (Zip Code)
(866) 908-4867
(Registrant’s telephone number, including area code)
N/A
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| | |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| | |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| | |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | | Trading Symbol(s) | | Name of each exchange on which registered |
| Common Stock, par value $0.0001 per share | | VVOS | | The NASDAQ Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
Item 5.07 Submission of Matters to a Vote of Security Holders.
On August 25, 2022, Vivos Therapeutics, Inc. (the “Company”) conducted its 2022 annual meeting of stockholders (the “Annual Meeting”). The number of shares of common stock entitled to vote at the Annual Meeting was 23,012,119 shares outstanding as of the July 5, 2022 record date (the “Voting Stock”). No other shares of the Company’s capital stock were entitled to vote at the Annual Meeting.
The number of shares of Voting Stock present or represented by valid proxy at the Annual Meeting was 14,884,738 shares of Voting Stock, constituting a quorum. At the Annual Meeting, the Company’s stockholders (i) elected each of Dr. Ralph Green, Anja Krammer, Mark Lindsay, Leonard Sokolow, Dr. Matthew Thompson and R. Kirk Huntsman as a director for a one-year term, and (ii) ratified the appointment of Plante & Moran, PLLC as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2022. The following is a tabulation of the voting on the proposals presented at the Annual Meeting:
Proposal No. 1 – Election of Directors
Dr. Ralph Green, Anja Krammer, Mark Lindsay, Leonard Sokolow, Dr. Matthew Thompson and R. Kirk Huntsman were each elected as a director to serve for a one-year term that expires at the 2022 annual meeting of stockholders or until a successor is elected and qualified or until her or his earlier death, incapacity, removal or resignation. The voting results were as follows:
| Nominee | | Shares Voted For | | | Shares Withheld | | | Broker Non-Vote | |
| Dr. Ralph Green | | | 6,582,838 | | | | 3,278,037 | | | | 5,023,863 | |
| Anja Krammer | | | 6,616,838 | | | | 3,244,037 | | | | 5,023,863 | |
| Mark Lindsay | | | 6,574,158 | | | | 3,286,717 | | | | 5,023,863 | |
| Leonard Sokolow | | | 6,338,596 | | | | 3,522,279 | | | | 5,023,863 | |
| Dr. Matthew Thompson | | | 6,296,735 | | | | 3,564,140 | | | | 5,023,863 | |
| R. Kirk Huntsman | | | 6,495,727 | | | | 3,365,148 | | | | 5,023,863 | |
Proposal No. 2 – Ratification of the appointment of independent registered public accounting firm
Appointment by the Company’s audit committee of Plante & Moran, PLLC as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2022 was ratified. The voting results were as follows:
| Shares Voted For | | | Shares Voted Against | | | Shares Abstaining | | | Broker Non-Vote | |
| 7,372,456 | | | | 3,812,172 | | | | 3,700,110 | | | | - | |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| | VIVOS THERAPEUTICS, INC. |
| | |
| Dated: August 26, 2022 | By: | /s/ R. Kirk Huntsman |
| | Name: | R. Kirk Huntsman |
| | Title: | Chairman of the Board and Chief Executive Officer |
