Vivakor, Inc. 8-K Filings

Vivakor, Inc. effected a 1-for-15 reverse stock split of its common stock, effective at the open of trading on the Nasdaq Capital Market on October 5, 2026. The split combines each 15 shares into one share. The company said the split is intended to support its continued listing on the Nasdaq Capital Market.

Vivakor said outstanding common shares would be reduced from approximately 8,981,898 to approximately 598,794, while authorized shares would remain unchanged. Stockholders had approved authority for one or more reverse splits over two years at ratios from one-for-two up to one-for-two thousand, with the board determining the specific ratio and date. The board selected 1-for-15 for this split; a previous 1-for-20 reverse split became effective July 17, 2026.

Vivakor, Inc. announced a 1-for-15 reverse stock split expected to become effective at the opening of trading on October 5, 2026. The company said approximately 8,981,898 outstanding common shares will be reduced to approximately 598,794, while authorized shares remain unchanged. Holders who would otherwise receive a fractional share will instead receive one whole share. Vivakor said the split is intended to increase the common stock’s per-share trading price and support continued listing on the Nasdaq Capital Market.

Leslie D. Patterson resigned as Executive Vice President and Chief Operating Officer effective September 24, 2026. Under a mutual transition agreement, Vivakor must pay all wages owed through that date and $150,000 as full satisfaction of the listed wage, bonus, severance, benefit and alleged non-wage-damage matters. The parties agreed to enter into a mutually agreeable consulting agreement on or before October 9, 2026; Vivakor is obligated to issue common shares under its then-current equity compensation plan registered on Form S-8 as compensation for Patterson’s consulting services.

Vivakor, Inc. (symbol: VIVK) is the issuer of record for a Form 8-K filing submitted to the SEC.

Vivakor, Inc. reported recent conversions of existing convertible debt into common stock and disclosed an early-stage strategic step toward a possible business combination. One lender converted $65,280 of Lender Notes into 103,619 shares of common stock, issued without a Rule 144 restrictive legend under a Section 4(a)(2) exemption. J.J. Astor & Co. converted an additional $475,000 of a junior secured convertible note into 741,830 shares of common stock, also issued without a restrictive legend under Section 4(a)(2). Vivakor and M2i Global, Inc. executed a non-binding Indication of Interest to negotiate, over an initial 30-day period, a potential equity-exchange acquisition of M2i by Vivakor and other possible structures focused on U.S. critical minerals supply chains. The IOI is largely non-binding and any transaction would depend on further negotiations, due diligence, definitive agreements, approvals and customary conditions.

Vivakor, Inc. describes recent conversions of outstanding convertible debt into shares of common stock. An accredited investor holding a convertible promissory note originally issued on August 12, 2025 with a principal amount of $647,059 converted $135,328 of principal and interest into 139,513 common shares on August 3, 2026, after which all amounts due under that note have been paid.

J.J. Astor & Co., holder of a junior secured convertible promissory note issued on July 9, 2025 with a $5,940,000 principal amount, delivered conversion notices between July 29 and August 3, 2026. These converted an aggregate $1,199,342.24 due under the note into 1,160,000 common shares. Both sets of shares were issued without a Rule 144 restrictive legend and in private placements exempt from registration under Section 4(a)(2) of the Securities Act to accredited investors familiar with Vivakor’s operations.

Vivakor, Inc. reported that several holders of its outstanding convertible debt elected to convert portions of their notes into common stock. Between July 21 and July 24, 2026, an accredited investor converted amounts due under a previously issued $647,059 convertible note into 371,000 shares of common stock.

Between July 23 and July 25, 2026, seven non-affiliated accredited investors converted $448,120 under aggregate $5,117,647.06 in Lender Notes into 448,038 shares. Over July 21 to July 27, 2026, J.J. Astor & Co. converted $1,477,500 of a junior secured $5,940,000 Second Note into 1,631,014 shares. These shares were issued without Rule 144 restrictive legends under Section 4(a)(2) exemptions.

Vivakor also highlighted growth in its crude oil marketing business. Two new recurring physical crude programs are expected to add about $384 million of annualized commercial activity, increasing the announced marketing platform to more than $1.09 billion, while VST recognizes only a small percentage as gross profit. Separately, all capital funding commitments under the Monarch Remediation & Processing I, LLC joint venture have been fulfilled, allowing commissioning activities to begin at the Houston Remediation Processing Center in Harris County, Texas as the facility prepares for commercial operations.

Vivakor, Inc. reported an amendment to its May 2026 institutional financing under which investors agreed to fund the second $6.0 million tranche of a note purchase in exchange for maintaining a $0.37 floor price after a 1‑for‑20 reverse stock split effective July 17, 2026. The notes carry $15.0 million principal, reflecting a 20% original issuance discount on $12.0 million of gross proceeds, and are paired with a standby equity purchase agreement allowing one investor to buy up to $100.0 million of common stock through formula‑priced advances capped at 4.99% of outstanding shares.

The company also disclosed partial conversions of earlier convertible notes, including $28,545 of a 2025 note into 33,000 shares and $27,680 of lender notes into 32,000 shares, issued without Rule 144 legends under Section 4(a)(2) of the Securities Act. Separately, subsidiary Vivakor Supply & Trading agreed to four recurring crude‑oil purchase and sale transactions totaling 300,000 barrels per month (3.6 million annually), expected to support about $289.2 million in annualized commercial activity and bringing announced recurring programs to roughly $709 million and 8.1 million barrels of annual marketed volumes based on current market prices.

Vivakor, Inc. is implementing a 1-for-20 reverse stock split of its common stock, approved by stockholders and effected through a Certificate of Amendment filed in Nevada. The reverse split is intended to increase the per-share trading price and support continued listing on the Nasdaq Capital Market.

The split is expected to become effective at the opening of trading on July 17, 2026, with shares continuing to trade under the symbol VIVK and a new CUSIP 92852R601. Each 20 shares of issued and outstanding common stock will be combined into 1 share, reducing outstanding shares from approximately 13,344,000 to approximately 667,200, while authorized shares remain unchanged. No fractional shares will be issued; stockholders otherwise entitled to a fraction will receive one whole share.

Vivakor, Inc. entered into Amendment No. 1 to its Debt Satisfaction and Preferred Stock Amendment Agreement. The parties agreed to reinstate the 6% annual dividend on the Series A Preferred Stock from April 30, 2026 to April 29, 2027 and to issue previously suspended dividend shares for the April 30, 2026, July 31, 2026, and October 31, 2026 periods. In exchange, Ballengee Holdings, LLC agreed to extinguish $500,000 owed under a May 23, 2024 promissory note. The company agreed to issue an aggregate of 3,740,586 restricted common shares as dividend payments on the Series A Preferred Stock, including 1,445,349 shares to entities controlled by CEO James Ballengee. The parties also provided for a future share “true up” for the July 31, 2026 and October 31, 2026 dividend periods.

Vivakor, Inc. reported results of its 2026 annual shareholder meeting and several corporate updates. Shareholders representing 3,350,087 votes out of 4,779,302 outstanding were present, establishing a quorum. All four director nominees were elected, each receiving approximately 94% of votes cast.

Stockholders approved multiple stock issuance proposals tied to May 2026 financing, insider and consultant issuances, J.J. Astor issuances, a reverse stock split, an equity plan amendment, and executive compensation on an advisory basis. They also ratified Urish Popeck & Co., LLC as independent auditor for the year ending December 31, 2026.

The company announced a new recurring crude oil transaction for about 100,000 barrels of WTI per month from August 2026 through July 2027, expected to generate roughly $7.5 million in revenue per month, or $90 million in annualized gross revenue. Including this, Vivakor estimates about $420 million in annualized contracted revenue opportunities.

Vivakor also reset the payment date for its previously announced special dividend of Adapti, Inc. shares to September 5, 2026, while keeping the record date and other terms unchanged. Eligible shareholders are expected to receive approximately 0.0074 Adapti shares for each Vivakor share, with the company currently holding about 206,595 Adapti shares.

Vivakor, Inc. reports multiple debt-to-equity conversions and new crude oil marketing contracts that expand its recurring revenue base. Accredited investors converted $175,200 of Holder Notes into 600,000 common shares and $487,988 of Lender Notes into 1,844,447 common shares under prior convertible note agreements.

Vivakor Supply & Trading entered a one-year Bakken crude oil transaction covering about 120,000 barrels per month from July 1, 2026, expected to generate roughly $9.6 million in gross revenue per month, or about $115 million annualized. Including this, recurring contracted commercial activities and previously announced arrangements are estimated at approximately $269 million in annualized contracted revenue opportunities for 2026.

A new Permian Basin crude oil deal for around 2,000 barrels per day starting July 1, 2026 is anticipated to add about $150,000 in gross revenue per day, or roughly $54 million annually, bringing Vivakor’s recurring contracted commercial activities and announced supply and trading arrangements to more than $323 million in annualized contracted revenue opportunities. Both transactions utilize Vivakor’s pipeline-connected infrastructure network, and Vivakor notes VST will recognize only a small percentage of total contract value as revenue.

Vivakor, Inc. filed a current report describing several recent developments. One lender converted $103,100.78 of previously issued convertible promissory notes into 355,979 shares of common stock that were issued without a Rule 144 restrictive legend under Section 4(a)(2) of the Securities Act.

The company furnished a press release with first quarter 2026 financial and operational results, highlighting a strategic focus on higher-margin midstream and trading operations following 2025 restructuring. Vivakor also announced a joint venture with Monarch R&P Management to commission and launch its Houston remediation processing center, targeting commercial operations in the third quarter of 2026.

In addition, Vivakor set its 2026 Annual Meeting of Stockholders for June 30, 2026 in Dallas, with May 21, 2026 as the record date for voting eligibility. Related press releases were included as exhibits to the report.

Vivakor, Inc. reported several major developments. Its supply and trading arm entered a one-year crude oil transaction for about 100,000 barrels per month from June 2026 to May 2027, representing an estimated $9 million in revenue per month, or roughly $108 million annualized based on current prices.

The company also formed Monarch Remediation Processing I, LLC to govern operations of its Harris County, Texas wash plant, committing a total of $2.25 million as its contribution and agreeing that Monarch R&P will receive a $110,000 monthly management fee. Vivakor plans to issue restricted common stock valued at $2 million to individuals managing CA-2 Materials sixty days after the effective date of the Management Agreement.

Separately, lenders converted $1,037,025 of existing convertible promissory notes into 2,090,001 common shares, issued without Rule 144 legends under a private-offering exemption.

Vivakor, Inc. entered into a financing transaction with institutional investors involving six‑month convertible promissory notes and a standby equity facility. The notes provide aggregate gross proceeds of $12 million with a $15 million principal amount, reflecting a 20% original issuance discount. The first tranche closed on May 8, 2026, delivering $6 million to the company under a Securities Purchase Agreement, with a second $6 million tranche subject to a later closing. Vivakor plans to use net proceeds to reduce certain indebtedness and liabilities, fund working capital, and advance commissioning of its Remediation Processing Center in Houston and other strategic initiatives.

In parallel, Vivakor entered a standby equity purchase agreement under which an investor may purchase up to $100 million of common stock over a period of up to 36 months via an equity line of credit. Conversion of the notes and equity draws are subject to pricing formulas, ownership caps, stockholder approval thresholds, and a resale registration requirement, which together govern potential future dilution and capital access.

Vivakor, Inc. entered new forbearance and amendment agreements on its secured debt and issued additional equity. With J.J. Astor & Co., the company acknowledged about $6.82M outstanding on the Second Note and $1.11M on the Fourth Note and agreed to a revised repayment plan tied to an RBW Capital-led financing, an S-1 registration, a standby equity purchase agreement, and a potential Olenox Industries transaction. Vivakor also reached a separate forbearance with Cedarview Opportunities Master Fund, extending maturities to October 31, 2026 in exchange for prepayments, possible collateral in Olenox shares, and 275,000 restricted common shares. In May 2026, the company issued over 1.4 million additional restricted common shares for investor consideration, preferred dividends, an executive bonus, and consulting fees under private offering exemptions.

Vivakor, Inc. disclosed two key updates. First, its Vivakor Supply & Trading platform executed a recurring crude oil transaction representing about $6.0 million in crude oil volume per month, or $72.0 million over a twelve-month term through May 2027, including transportation services. On standard crude trades, the Company anticipates recognizing approximately 1% of the contract value as revenue. Second, Vivakor reset the payment date for its previously announced special dividend of 206,595 shares of Adapti, Inc. that it owns to June 30, 2026, payable to holders of record of Vivakor common shares as of September 5, 2025.

Vivakor, Inc. has completed a 1-for-200 reverse stock split of its common stock, effective March 24, 2026. This reduced issued and outstanding shares from 410,068,820 to approximately 2,050,344, while authorized common stock remains 500,000,000 shares.

The move is aimed at meeting Nasdaq’s $1.00 minimum bid price rule so the company can continue listing on the Nasdaq Capital Market. The stock will trade under the temporary symbol “VIVKD” for 20 business days before reverting to “VIVK.” If the bid price meets Nasdaq’s requirement by April 30, 2026, trading is expected to be reinstated on the Nasdaq Capital Market, followed by a one-year mandatory monitoring period.

Vivakor, Inc. announced that a Nasdaq Hearings Panel has granted its request for continued listing on the Nasdaq Stock Market, provided the company regains compliance with Nasdaq’s $1.00 minimum bid price requirement by April 30, 2026. To meet this rule, the closing bid for Vivakor’s common stock must be at least $1.00 for ten consecutive trading days, after which trading on The Nasdaq Capital Market will be reinstated and the company will be subject to a one-year Mandatory Panel Monitor period. The Panel’s letter also acts as a Public Reprimand Letter because Vivakor issued more than 19.99% of its common stock for certain financings without first obtaining required shareholder approval, which violated Nasdaq Listing Rules.

Vivakor, Inc. entered into a Third Amendment to its Loan Agreement and Fourth Forbearance Agreement with J.J. Astor & Co. on February 27, 2026, and issued a Fourth Junior Secured Convertible Promissory Note with a $993,750 original principal amount, providing $750,000 in new funding maturing on April 6, 2026.

If the Fourth Note goes into default, interest increases to 19% per annum, principal is increased to 110% of the amount then owed, and the lender may convert 200% of the amount due at a price based on a steep discount to specified prior closing prices. Vivakor’s subsidiaries guaranteed the obligations, the company and subsidiaries pledged their assets as collateral for the Second and Fourth Notes, and certain real property in Blaine County, Oklahoma was conveyed as additional security, to be reconveyed if the Fourth Note is paid in full by maturity. The amendment also extends the deadline to relist on Nasdaq to April 6, 2026 and aligns certain Second Note default terms with those of the Fourth Note.

Vivakor, Inc. entered into a Forbearance and Note Payment Amendment Agreement with J.J. Astor & Co. on February 5, 2026, extending the maturity date of its junior secured convertible promissory note to January 1, 2027. The Second Note has a principal amount of $5,940,000, for which the Company previously received $4,400,000 in proceeds on July 15, 2025. Under the Agreement, Vivakor also agreed to make specified payments to pay off the Second Note.

Vivakor, Inc. entered Forbearance and Note Amendment Agreements with seven accredited investors holding its convertible promissory notes. The notes were originally issued for aggregate principal of $5,117,647.06, from which the company received $4,350,000 before fees. Vivakor has satisfied approximately $2,874,854 of principal and currently owes about $2,242,793.

The agreements extend the notes’ maturity to January 31, 2027, require scheduled cash payments through that date, and provide for the issuance of 56,167,665 restricted common shares. Conversions under the notes are not permitted unless Vivakor misses these payments or fails to be re-listed on Nasdaq by February 28, 2026, subject to extension while a reverse stock split is being completed.

Vivakor, Inc. is reporting that two accredited lenders have converted a portion of its previously issued convertible promissory notes into common stock. The lenders converted $41,165 of amounts due under lender notes into 9,215,789 shares of Vivakor common stock under a Securities Purchase Agreement originally covering an aggregate principal amount of $5,117,647.06, for which the company had received $4,350,000 before fees. The shares were issued without a Rule 144 restrictive legend based on legal opinions, and the company relied on the Section 4(a)(2) exemption because the lenders are accredited investors familiar with its operations.

Vivakor, Inc. reported that on January 12, 2026 it converted $50,000 of principal from an existing junior secured convertible promissory note into 11,904,762 shares of its common stock. This note, with an original principal amount of $5,940,000, was issued in connection with an amended loan and security agreement under which the company had previously received $4,400,000 in cash proceeds.

The new shares were issued without a Rule 144 restrictive legend based on a legal opinion provided to the company and its transfer agent. The transaction was conducted as an unregistered offering relying on the Section 4(a)(2) exemption under the Securities Act, as the lender is described as an accredited investor familiar with Vivakor’s operations.

Vivakor, Inc. reports a new interim forbearance arrangement and significant note conversions. The company previously issued a secured promissory note for $3,670,160.77 to Cedarview under a loan maturing October 31, 2025. After failing to pay the note as amended, Vivakor entered an Interim Forbearance Agreement on December 31, 2025, under which Cedarview agreed to forbear exercising default rights through January 23, 2026. Vivakor agreed to negotiate a longer-term forbearance by that date that would extend the note’s maturity to January 31, 2027 and include a payment plan and a Confession of Judgment covering all amounts due plus $200,000 of collection expenses.

Separately, between December 31, 2025 and January 7, 2026, holders of earlier issued convertible promissory notes converted $256,690 of principal into 37,886,206 shares of Vivakor common stock, issued without a Rule 144 restrictive legend under an exemption for accredited investors.

Vivakor, Inc. reported that it received a notice from Nasdaq stating the company failed to comply with Nasdaq Listing Rule 5635(d) because its October 24 and October 30, 2025 registered direct offerings of common stock and pre-funded warrants, priced at $0.22 and $0.18 per share, together exceeded 20% of pre-transaction common shares at less than the defined Minimum Price without prior shareholder approval.

The notice has no immediate effect on Vivakor’s Nasdaq Capital Market listing, and the company has 45 days from the notice date to submit a plan, with a possible extension of up to 180 days if accepted, while it seeks shareholder approval for those issuances. Separately, between December 10 and 15, 2025, holders of earlier convertible promissory notes converted $507,172.86 of amounts due into 15,427,519 common shares, following a prior note financing with $5,117,647.06 in aggregate principal where Vivakor received $4,350,000 before fees.

Vivakor, Inc. (VIVK) reports that holders of earlier convertible notes have converted portions of their debt into common stock, and the latest conversion fully satisfied a major note. Two accredited investors converted an aggregate $180,467.07 of principal and interest into 2,920,639 common shares under previously issued notes. Separately, J.J. Astor & Co. converted $123,693.24 of principal from a junior secured convertible note with a $6,625,000 principal amount into 1,928,188 common shares. The company states that issuing these shares fully satisfied its obligations under that junior secured convertible note, with all shares issued under exemptions for accredited investors.

Vivakor, Inc. (VIVK) reported additional conversions of existing convertible debt into common stock. A lender converted $150,000 of principal from a junior secured convertible note dated March 2025 into 1,855,861 shares on November 14, 2025, and a further $150,000 into 2,354,788 shares on November 18, 2025.

Separately, ClearThink Capital Partners converted $323,528 of principal and interest on a May 2025 convertible note into 3,921,551 shares. All shares were issued without Rule 144 restrictive legends based on legal opinions, and the issuances were treated as exempt private offerings under Section 4(a)(2) of the Securities Act to accredited investors familiar with the company’s operations.

Vivakor, Inc. (VIVK) disclosed multiple corporate actions. The company entered a Settlement Agreement with former CFO and director Tyler Nelson to resolve wage-related claims, with payments scheduled as follows: $100,000 within 30 days, $100,000 within 60 days, $1,550,000 within 90 days, and $250,000 on or before November 5, 2026. Vivakor reports it has paid $250,000. The court has taken all dates and deadlines off calendar and will retain jurisdiction through final payment.

Vivakor also executed a Transition Agreement with former EVP, General Counsel and Secretary Patrick Knapp, providing $50,000 on the Effective Date, $50,000 on or before December 31, 2025, and $100,000 in common stock issued within three trading days, priced by the prior three days’ average closing price, with additional shares to reach $100,000 if needed. The company received Notices of Conversion from its lender converting $150,000 into 2,043,597 shares and another $150,000 into 1,827,040 shares under a junior secured convertible note; the shares were issued without a Rule 144 restrictive legend under Section 4(a)(2). Kimberly Hawley was appointed Secretary, while continuing as EVP and CFO.

Vivakor, Inc. completed a registered direct offering with institutional investors, selling 10,600,000 common shares at $0.18 and 3,566,666 pre-funded warrants at $0.179 for approximately $2.55 million in gross proceeds. The company plans to use net proceeds for working capital and general corporate purposes. The transaction closed on October 31, 2025.

The pre-funded warrants are immediately exercisable at $0.001 per share and include ownership caps that limit exercises above 4.99% of outstanding common stock, or 9.99% if elected before issuance. D. Boral Capital LLC acted as placement agent, receiving a 7% cash fee, a 1% non-accountable expense fee, and expense reimbursements. The securities were offered under Vivakor’s effective Form S-3 shelf (File No. 333-269178) and a prospectus supplement dated October 30, 2025.

Vivakor, Inc. (VIVK) furnished investor materials and a business update. The company announced initiation of a commodity trade transaction utilizing its wholly owned subsidiary, Vivakor Supply & Trading, LLC, via a press release furnished as Exhibit 99.1.

Effective October 30, 2025, senior management began using a new Investor Presentation, furnished as Exhibit 99.2, in meetings with shareholders and potential investors. The materials were provided under Item 7.01 and are furnished, not filed, under the Exchange Act.

Vivakor, Inc. reported that its lender converted $400,000 of a junior secured convertible promissory note into 3,923,492 shares of common stock on October 23, 2025.

The note was originally issued on March 17, 2025 with a $6,625,000 principal amount, and the company received $5,000,000 of funding on March 18, 2025. This transaction reduces the note’s principal by $400,000 and increases the company’s outstanding equity base.

The shares were issued without a Rule 144 restrictive legend based on a legal opinion provided to the company and its transfer agent. The issuance was made pursuant to the Section 4(a)(2) private offering exemption, with the holder identified as an accredited investor.

Vivakor, Inc. (VIVK) completed a registered direct offering, selling 10,909,090 shares of common stock at $0.22 per share and 5,000,000 pre-funded warrants at $0.219 for aggregate gross proceeds of approximately $3.5 million. The company plans to use the net proceeds for working capital and general corporate purposes.

The pre-funded warrants are immediately exercisable at $0.001 per share and include ownership caps that limit a holder’s beneficial ownership to 4.99%, or 9.99% if elected prior to issuance. The transaction closed on October 27, 2025. Vivakor paid the placement agent a 7% cash fee on gross proceeds, a 1% non-accountable expense, and reimbursed certain expenses, and conducted the sale under its effective Form S-3 shelf with a prospectus supplement dated October 27, 2025.

Vivakor, Inc. (VIVK) announced two items. First, its subsidiary Vivakor Supply & Trading entered a Physical Commodity Intermediation Agreement with a single non‑affiliated wholesaler that provides credit support—such as letters of credit, surety bonds, cash deposits, and guarantees—up to $40 million in combined availability, to be extended from time to time for commodity trading activities.

Second, Vivakor agreed to settle claims by James Samuelson. The company will pay $100,000 on or before January 30, 2026 and issue common stock valued at $400,000 on October 24, 2025, $400,000 on November 3, 2025, $400,000 on November 13, 2025, and $350,000 on November 24, 2025. The shares will be issued under the 2023 Equity Incentive Plan, registered on Form S‑8, and priced at a 20% discount to the average of the lowest five VWAPs over the prior 15 trading days before each issuance. A Leak‑Out Agreement limits daily sales to the greater of net proceeds equaling $25,000, 10% of the 90‑day average trading volume, or 10% of the day’s trading volume. Court dates related to the lawsuit have been taken off calendar and the court will retain jurisdiction through final payment.

Vivakor, Inc. completed a registered direct offering, selling 8,417,645 shares of common stock at $0.2164 per share and 14,689,851 pre-funded warrants at $0.2154, for aggregate gross proceeds of approximately $5 million before fees. The transaction closed on October 17, 2025.

The pre-funded warrants are immediately exercisable at $0.001 per share and include ownership limits of 4.99% (or 9.99% if elected before issuance). Vivakor plans to use net proceeds for working capital and general corporate purposes. D. Boral Capital LLC acted as placement agent, receiving a 7% cash fee, a 1% non-accountable expense fee, and reimbursed expenses. The securities were offered off the company’s effective Form S-3 shelf and a prospectus supplement dated October 16, 2025.

Vivakor, Inc. (VIVK) reported three conversions of its junior secured convertible promissory note held by J.J. Astor & Co. into common stock. On October 10, 2025, October 15, 2025, and October 16, 2025, the lender converted $350,000 of principal on each date into 3,323,837 shares, 3,796,095 shares, and 3,795,095 shares, respectively.

The conversions relate to the $6,625,000 junior secured convertible note issued on March 17, 2025, under which the company received $5,000,000 in proceeds on March 18, 2025. The shares were issued without a Rule 144 restrictive legend based on a legal opinion, and the issuance was made under Section 4(a)(2) as a private placement to an accredited investor.

Vivakor, Inc. entered a Second Forbearance Agreement with J.J. Astor & Co. and issued a new junior secured convertible note. The lender agreed to provide up to $2,450,000 in additional funding and forbear certain defaults, while keeping interest at the default rate of 19% and conversions at the Default Conversion Price.

As of the effective date, outstanding principal was $2,259,319.89 on the Initial Note and $5,685,805.13 on the Second Note. The lender delivered a notice of default under the Second Note, accelerated amounts due, and agreed to a standstill until November 30, 2025, provided Vivakor pays default-rate interest, issues the Third Note, and cures past-due payments. All amounts under the Initial and Second Notes are due on or before November 30, 2025.

Vivakor issued a Third Junior Secured Convertible Note with $1,620,000 principal, receiving $1,152,000 in proceeds before $53,000 in fees, to be repaid in 42 equal installments of $38,572. As additional consideration, the company agreed to issue 286,000 commitment shares for $286. The securities were issued under Section 4(a)(2).

Vivakor, Inc. reports several financing-related share issuances tied to existing convertible notes. A junior secured convertible promissory note issued on March 17, 2025 with a principal amount of $6,625,000 previously provided the Company $5,000,000 in proceeds on March 18, 2025. On October 2 and October 6, 2025, the lender converted $400,000 and $500,000 of this principal into 2,991,773 and 3,496,503 shares of common stock, which were issued without a Rule 144 restrictive legend.

Separately, on August 12, 2025, Vivakor issued a convertible promissory note with aggregate principal of $647,500 to a non-affiliated accredited investor in exchange for $550,000 in funding and agreed to issue 82,500 common shares as an additional incentive, which were issued with a restrictive legend on October 8, 2025. The Company states that these securities issuances were made under Section 4(a)(2) of the Securities Act to accredited investors familiar with its operations.

Vivakor, Inc. reports that lender J.J. Astor & Co. has converted $700,000 of the principal on its junior secured convertible note into 5,235,602 shares of Vivakor common stock. This note, issued on March 17, 2025 with a principal amount of $6,625,000, previously provided the company with $5,000,000 in loan proceeds.

The lender had already converted $200,000 of principal into 720,072 shares and another $200,000 into 1,084,011 shares, and had received 250,000 commitment shares, with all such issuances stated as not exceeding 5% of Vivakor’s outstanding stock since the June 30, 2025 quarterly report. The shares issued to the lender were delivered without a Rule 144 restrictive legend based on a legal opinion, and the company states that the issuance was exempt from registration under Section 4(a)(2) of the Securities Act as a private placement to an accredited investor.

Vivakor, Inc. reported that it issued a junior secured convertible promissory note (the Initial Note) to J.J. Astor & Co. in the principal amount of $6,625,000 in connection with a Loan and Security Agreement under which the company received $5,000,000 before fees. On July 9, 2025, Vivakor entered into a Forbearance and Amendment to the Loan Agreement and Note and also issued an Additional Junior Secured Convertible Note, which amended terms of the Loan Agreement and the Initial Note.

Vivakor, Inc. reported results from its 2025 annual stockholder meeting and an update on its Nasdaq listing status. Stockholders elected four directors — James Ballengee, John Harris, Albert Johnson and Michael Thompson — and approved several equity-related proposals, including J.J. Astor Stock Issuances, Notes Stock Issuances, Preferred Stock Issuances, a Reverse Stock Split, the MEL/ET Transaction, ratification of Urish Popeck & Co., LLC as auditor for the year ending December 31, 2025, and a non-binding advisory vote approving executive compensation. A quorum was present, with 30,286,353 shares voted out of 48,051,097 shares outstanding and entitled to vote. Vivakor also disclosed that Nasdaq granted an additional 180 days, through March 16, 2026, for the company to regain compliance with the minimum $1 bid price requirement, and its shares continue to trade on the Nasdaq Capital Market under the symbol VIVK.

Vivakor, Inc. filed a current report to note that its Board of Directors has reset the record date for a previously announced special dividend of shares of Adapti, Inc. owned by Vivakor. The company disclosed that it issued a press release on August 19, 2025 describing this change, and attached that release as an exhibit. This action affects which shareholders will be entitled to receive the Adapti share dividend based on ownership as of the new record date.

Vivakor, Inc. filed an 8-K disclosing a Second Amended Employment Agreement dated August 12, 2025 between the company, Vivakor Administration, LLC and Les Patterson. The filing notes a related press release issued on August 13, 2025 announcing Mr. Patterson's hiring as Chief Operating Officer. The document includes standard qualification language saying disclosed statements allocate risk between parties, reflect disclosures made during negotiation, and are as of the agreement date. An interactive Inline XBRL cover page is included.

Vivakor, Inc. (VIVK) filed an 8-K detailing several material events dated 30 Jul 2025.

Asset sale: Subsidiary Vivakor Transportation agreed to sell 100% of Meridian Equipment Leasing, LLC and Equipment Transport, LLC to Jorgan Development for $11.06 million, paid in Vivakor Series A Convertible Preferred Stock that will be retired, eliminating the related dividend obligation. Price is subject to a net-equity true-up. Associated amendments will (i) expand a Transition Services Agreement, (ii) cut required payments on a secured promissory note from 99% to 50% of specified free cash flow, and (iii) suspend insider Series A dividends from 1 Aug 2025-1 Jan 2026.

Forbearance: Vivakor and CEO-related entities acknowledged continuing defaults under three Maxus Capital equipment leases. Maxus will forbear enforcement if a $9.21 million lump-sum schedule (first $3.29 m due 1 Sep 2025) and monthly lease payments ($41k, $593k, $188k) are met. Up-front consideration equals $250k cash plus $250k in restricted VIVK shares.

Management change: COO Russ M. Shelton resigned effective 3 Aug 2025, agreeing to assist in transition; no disagreements cited.

Other disclosures: Press releases announced the transaction, a special dividend of 206,595 Adapt, Inc. shares (record date 20 Aug 2025), and an annual meeting set for 11 Sep 2025.