Welcome to our dedicated page for Vivakor SEC filings (Ticker: VIVK), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Vivakor, Inc. (VIVK) SEC filings page on Stock Titan compiles the company’s official reports to the U.S. Securities and Exchange Commission, giving investors detailed insight into this energy infrastructure and environmental services business. Vivakor’s filings describe it as an integrated provider of energy transportation, storage, reuse, and remediation services, with operations that include crude oil trucking, the Omega Gathering Pipeline, terminaling and storage of crude oil and byproducts, and oilfield waste remediation facilities intended to support recovery, reuse, and disposal of petroleum byproducts and oilfield waste products.
Recent Forms 8-K highlight several key areas: registered direct offerings of common stock and pre-funded warrants under an effective Form S-3 shelf registration statement, junior secured convertible promissory notes and other convertible debt arrangements, and conversions of these instruments into common stock under Section 4(a)(2) exemptions. Filings also discuss a Physical Commodity Intermediation Agreement supporting Vivakor Supply & Trading (VST), the company’s commodities trading platform, which participates in physical crude oil and liquefied petroleum gas (LPG) transactions.
Other current reports address settlement agreements with former executives and employees, transition and compensation arrangements, and governance changes such as officer appointments. An 8-K dated December 16, 2025, details a Nasdaq Listing Qualifications notice regarding compliance with Listing Rule 5635(d) tied to certain October 2025 offerings, and outlines Vivakor’s intention to submit a plan to regain compliance, while cautioning that there are no assurances.
On Stock Titan, Vivakor’s 10-K annual reports, 10-Q quarterly reports, and 8-K current reports can be paired with AI-powered summaries that explain complex sections, such as capital structure changes, midstream and remediation segment disclosures, and risk factors. Users can also review Form 4 insider transaction reports, when filed, to see equity activity by officers, directors, and significant shareholders. Real-time updates from EDGAR and AI-generated overviews help readers navigate Vivakor’s regulatory history and understand how its hazardous waste-related remediation, transportation, and trading activities are presented in formal SEC documents.
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. (VIVK) launched a primary offering of 8,417,645 shares of common stock and 14,689,851 pre-funded warrants, plus 14,689,851 underlying shares. The offering price is $0.2164 per share; each pre-funded warrant is priced $0.001 less and is immediately exercisable at $0.001 per share, subject to 4.99% (or 9.99%) beneficial ownership limits.
Gross proceeds are $4,985,772.28, with proceeds before expenses of $4,636,768.22 and an estimated net of about $4.5 million. The company plans to use the net proceeds for working capital and general corporate purposes. D. Boral Capital LLC is the exclusive placement agent in a best efforts, no-minimum deal; placement agent fees are 7% of gross proceeds.
Shares outstanding were 78,365,157 before the offering and would be 101,472,653 assuming non-cashless exercise of all pre-funded warrants. VIVK last closed at $0.295 on October 15, 2025. Recent updates note a lender’s default notice and multiple note conversions into common stock, as well as a Nasdaq extension to March 16, 2026 to regain the $1.00 bid price.
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
Separately, on August 12, 2025, Vivakor issued a convertible promissory note with aggregate principal of
Vivakor, Inc. reports that lender J.J. Astor & Co. has converted
The lender had already converted
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. (VIVK) files an S-3 shelf registration describing the securities offered and disclosing ownership and distribution mechanics. The filing states VMC holds 99.95% of VivaVentures Energy Group, Inc., with a 0.05% minority holder, and that the company has 49% interests in Vivakor Company LLC and Vivakor Middle East, LLC. Beneficial ownership calculations treat securities convertible into common stock within 60 days of August, 2025 as outstanding. The prospectus registers shares issuable upon conversion or payment of notes and cites 48,051,097 common shares outstanding as of August 20, 2025. The filing lists required SEC reports incorporated by reference and describes permitted sale methods.
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. (VIVK) proxy highlights governance and capital-structure items for shareholder vote. The filing lists director nominations for election and multiple proposals that would authorize issuances of common, preferred and other stock potentially above 19.99% of outstanding common stock. It discloses beneficial ownership details for major holders: James H. Ballengee controls 21,403,141 shares (44.54%) through related entities and directly held shares, including shares to be issued in the next 60 days for Series A preferred-stock dividends and employment-related issuance. The Series A preferred pays a 6% annual dividend in shares, payable quarterly, and is convertible at company option based on a $1,000 stated value and $1.00 per common share subject to ownership limits. The proxy also lists share count scenarios for potential dilutive ratios and requests ratification of a transaction referenced as the MEL/ET transaction.