Vivakor Reports Unregistered Equity Sales
Ticker: VIVK · Form: 8-K · Filed: Oct 17, 2025 · CIK: 1450704
| Field | Detail |
|---|---|
| Company | Vivakor, INC. (VIVK) |
| Form Type | 8-K |
| Filed Date | Oct 17, 2025 |
| Risk Level | medium |
| Pages | 2 |
| Reading Time | 2 min |
| Key Dollar Amounts | $6,625,000, $5,000,000, b, $350,000 |
| Sentiment | neutral |
Sentiment: neutral
Topics: equity-sale, unregistered-offering
TL;DR
Vivakor sold unregistered equity, dilution alert!
AI Summary
Vivakor, Inc. filed an 8-K on October 17, 2025, reporting unregistered sales of equity securities on October 10, 2025. The filing does not specify the number of shares sold or the price per share, but it indicates a transaction related to equity securities occurred.
Why It Matters
This filing indicates Vivakor has issued new equity, which could dilute existing shareholders or signal a need for capital.
Risk Assessment
Risk Level: medium — Unregistered sales can indicate a need for capital and potential dilution for existing shareholders.
Key Players & Entities
- Vivakor, Inc. (company) — Registrant
- October 10, 2025 (date) — Date of earliest event reported
- October 17, 2025 (date) — Filing date
- Nevada (jurisdiction) — State of incorporation
- 5220 Spring Valley Road, Suite 500 Dallas, TX 75254 (address) — Principal executive offices
FAQ
What type of equity securities were sold?
The filing states 'Unregistered Sales of Equity Securities' but does not specify the exact type of securities.
How many shares were sold in the unregistered offering?
The filing does not disclose the number of shares sold.
What was the price per share for the unregistered equity sale?
The filing does not provide information on the price per share.
Were these securities sold to accredited investors?
The filing mentions 'Unregistered Sales of Equity Securities' but does not specify the nature of the purchasers or if they were accredited investors.
What is the purpose of this unregistered sale of equity securities?
The filing does not explicitly state the purpose for the unregistered sale of equity securities.
Filing Stats: 542 words · 2 min read · ~2 pages · Grade level 12.5 · Accepted 2025-10-17 17:10:32
Key Financial Figures
- $6,625,000 — e "Lender"), in the principal amount of $6,625,000 (the "Principal Amount"), in relation t
- $5,000,000, b — "Loan Agreement"). The Company received $5,000,000, before fees. The Company received the fun
- $350,000 — f Conversion from the Lender converting $350,000, $350,000 and $350,000 of the Principal
Filing Documents
- vivakor_8k.htm (8-K) — 36KB
- 0001829126-25-008207.txt ( ) — 198KB
- vivk-20251010.xsd (EX-101.SCH) — 3KB
- vivk-20251010_lab.xml (EX-101.LAB) — 33KB
- vivk-20251010_pre.xml (EX-101.PRE) — 22KB
- vivakor_8k_htm.xml (XML) — 4KB
02
Item 3.02 Unregistered Sales of Equity Securities As previously reported, on March 17, 2025, Vivakor, Inc. (the "Company"), issued a junior secured convertible promissory note (the "Initial Note") to J.J. Astor & Co. (the "Lender"), in the principal amount of $6,625,000 (the "Principal Amount"), in relation to a Loan and Security Agreement by and between the Company, its subsidiaries, and the Lender (the "Loan Agreement"). The Company received $5,000,000, before fees. The Company received the funds on March 18, 2025. On October 10, 2025, October 15, 2025 and October 16, 2025, the Company received Notices of Conversion from the Lender converting $350,000, $350,000 and $350,000 of the Principal Amount of the Initial Note into 3,323,837 shares, 3,796,095 shares and 3,795,095 shares of the Company's common stock, respectively (together, the "Shares"). Pursuant to the terms of the Initial Note and the Notices of Conversion, the Company issued the Shares. The Shares were issued without a Rule 144 restrictive legend pursuant to a legal opinion received by the Company and its transfer agent. The issuances of the foregoing securities were exempt from registration pursuant to Section 4(a)(2) of the Securities Act promulgated thereunder as the holder is an accredited investor and familiar with our operations. 1
SIGNATURES
SIGNATURES 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. VIVAKOR, INC. Dated: October 17, 2025 By: /s/ James H. Ballengee Name: James H. Ballengee Title: Chairman, President & CEO 2