Vivakor (VIVK) CEO reports major share transfer as loan collateral

Rhea-AI Filing Summary

Vivakor, Inc. (VIVK) CEO, director and 10% owner James H. Ballengee reported transferring shares of common stock as collateral under a loan agreement. On 11/10/2025, he disposed of 2,979,456 shares of common stock at a value of $0.17 per share, followed by a separate transfer of 30,096 shares at the same value, both coded as transaction type J and described as pledges to a financial institution. After these transactions, he indirectly owned 17,848,464 Vivakor shares through Jorgan Development, LLC and JBAH Holdings, LLC.

Insider Trade Summary

2 transactions reported

Mixed 2 txns

Insider Ballengee James H.

Role CEO

Type	Security	Shares	Price	Value
Other	Common Stock Par Value $0.001	2,979,456	$0.17	$507K
Other	Common Stock Par Value $0.001	30,096	$0.17	$5K

Holdings After Transaction: Common Stock Par Value $0.001 — 17,848,464 shares (Indirect, Beneficial ownership thru Jorgan Development, LLC and JBAH Holdings, LLC)

Footnotes (1)

1. F1. Transaction Code J-Shares were transferred to a financial institution as collateral under the terms of the loan agreement. Shares were valued based on closing price of the Issuer's common stock on 11/10/2025. Value to be applied against the loan balance.

AI-generated analysis. How Rhea-AI works. Not financial advice.

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

Form 4 Insider Transactions: What Each Field Means →

Accepted by SEC EDGAR 11/18/2025 - 06:42 PM Learn about SEC filing dates

FAQ

What did Vivakor (VIVK) report in this Form 4 filing?

The filing reports that James H. Ballengee, Vivakor's CEO, director and 10% owner, transferred shares of Vivakor common stock to a financial institution as collateral under a loan agreement, using transaction code J to indicate a transfer other than a typical open-market trade.

How many VIVK shares did the CEO pledge as collateral?

On 11/10/2025, James H. Ballengee transferred 2,979,456 shares of Vivakor common stock at a value of $0.17 per share, and in a separate transaction the same day transferred an additional 30,096 shares at $0.17 per share, all as collateral under a loan agreement.

What was the reported value used for the VIVK share transfers?

The shares were valued at $0.17 per share, based on the closing price of Vivakor's common stock on 11/10/2025, and this value is to be applied against the loan balance according to the explanation of responses.

How many Vivakor shares does the reporting person own after these transactions?

Following the reported collateral transfers, James H. Ballengee beneficially owned 17,848,464 shares of Vivakor common stock, held indirectly through Jorgan Development, LLC and JBAH Holdings, LLC, as indicated in the ownership column.

What is James H. Ballengee’s relationship to Vivakor (VIVK)?

James H. Ballengee is identified as a Director, a 10% Owner, and an Officer with the title CEO of Vivakor, Inc., which means he holds multiple key leadership and ownership roles at the company.

What does transaction code J mean in this Vivakor Form 4?

Transaction code J indicates a transfer of securities that is not a standard purchase or sale. The explanation states that the J-coded Vivakor share transfers were made to a financial institution as collateral under a loan agreement, with the value applied against the loan balance.

SEC Form 4

FORM 4

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

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

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

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

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Ballengee James H.

(Last) (First) (Middle)

6617 GOLF DRIVE

(Street)

DALLAS TX 75205

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Vivakor, Inc. [ VIVK ]

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

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

3. Date of Earliest Transaction (Month/Day/Year)
11/10/2025

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 Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock Par Value $0.001	11/10/2025	11/10/2025	J(1)		2,979,456	D	$0.17(1)	17,878,560	I	Beneficial Ownership thru Jorgan Development, LLC and JBAH Holdings, LLC
Common Stock Par Value $0.001	11/10/2025	11/10/2025	J(1)		30,096	D	$0.17(1)	17,848,464	I	Beneficial ownership thru Jorgan Development, LLC and JBAH Holdings, LLC

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Transaction Code J-Shares were transferred to a financial institution as collateral under the terms of the loan agreement. Shares were valued based on closing price of the Issuer's common stock on 11/10/2025. Value to be applied against the loan balance.

	/s/ James H. Ballengee	11/18/2025
	** 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).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.