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.
Vivakor, Inc. SEC filings document the company’s energy transportation, storage, reuse, remediation, and crude oil trading activities, along with its public-company capital structure. Current Reports on Form 8-K cover material definitive agreements, forbearance and note amendments, unregistered equity issuances, Regulation FD disclosures, and corporate actions affecting common stock.
The filing record also includes amendments related to a reverse stock split, Nasdaq listing compliance disclosures, special dividend materials, and notices tied to periodic reporting obligations. These documents describe governance actions, convertible promissory notes, shareholder approval matters, registered securities, and other formal disclosures for Vivakor’s Nasdaq-listed common stock.
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.
Vivakor, Inc. (VIVK) reported interim results showing meaningful revenue from its oil-related operations but significant liquidity stress. For the six months ended June 30, 2025 the company recognized $42.5 million in terminating and storage revenue and $23.9 million in transportation logistics, and recorded crude petroleum sales of $17.1 million for the three-month period and $30.4 million for the six-month period tied to North Dakota contracts. The company has a working capital deficit of approximately $105.8 million at June 30, 2025 versus $101.5 million at December 31, 2024, only $3.7 million of cash (with $3.2 million restricted), and about $74 million of debt due within one year, which the filing states raises substantial doubt about its ability to continue as a going concern. Management recorded a full allowance against a $7.5 million convertible note due to collectability uncertainty and disclosed material financing amendments and new loan documents received July 15, 2025. Consolidated net loss and operating losses widened year-over-year.
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. filed a notice that it will be late filing its Quarterly Report on Form 10-Q for the period ended June 30, 2025. The company cites delays in completing its financial statements and related disclosures and expects to file within five calendar days of the original due date, but it cannot assure this timing.
Vivakor also indicates that its results for this quarter will differ significantly from the same period last year. The changes stem mainly from acquiring the Endeavor Entities and entering into board, executive employment, promissory, and convertible note arrangements in 2025, which are expected to materially affect assets, liabilities, equity, revenue, costs, expenses, and net income or loss.
Vivakor, Inc. is soliciting proxies for its September 11, 2025 annual meeting where stockholders will vote on four director nominees and eight other proposals including approvals required under Nasdaq Listing Rule 5635(d) to permit potential issuances of common stock upon conversion or dividend issuance that, under certain circumstances, could exceed 19.99% for (i) J.J. Astor convertible notes (referenced principal amounts total $12,565,000), (ii) investor convertible notes under a Securities Purchase Agreement (aggregate principal amounts referenced ~ $5.79 million), and (iii) issuances tied to Series A preferred stock conversions/dividends.
The proxy discloses a related-party transaction: the July 30, 2025 sale of Meridian Equipment Leasing, LLC and Equipment Transport, LLC to Jorgan Development, LLC (an entity controlled by CEO James Ballengee) for $11,058,235 paid in Series A Convertible Preferred Stock, which the Board asks stockholders to ratify. The filing details multiple financings with J.J. Astor (initial and additional junior secured convertible notes, weekly installment structures, fee and holdback arrangements, a 15,000,000 share reservation for conversion, and Commitment Shares issued) and a Forbearance Agreement and payment schedule with Maxus requiring multi-million dollar payments. Corporate changes include CFO Tyler Nelson's resignation (July 19, 2025) and hiring of Kimberly Hawley as CFO (July 24, 2025, $350,000 annual compensation). The record date is August 13, 2025 and 50,121,474 shares were outstanding on that date.
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.