Vivakor, Inc. Files 8-K: Material Agreement & Exhibits

TL;DR

VIVAKOR (VIVK) filed an 8-K for a material definitive agreement. Details to follow.

AI Summary

Vivakor, Inc. filed an 8-K on October 30, 2025, reporting an entry into a material definitive agreement. The filing also includes other events and financial statements and exhibits. The company is incorporated in Nevada and its principal executive offices are located in Dallas, Texas.

Why It Matters

This 8-K filing indicates Vivakor, Inc. has entered into a significant agreement, which could impact its business operations and financial standing.

Risk Assessment

Risk Level: medium — An 8-K filing concerning a material definitive agreement suggests significant business developments that could carry inherent risks.

Key Players & Entities

• Vivakor, Inc. (company) — Registrant
• October 30, 2025 (date) — Date of earliest event reported
• Nevada (jurisdiction) — State of incorporation
• Dallas, TX (location) — Principal executive offices
• 001-41286 (identifier) — Commission File Number
• 26-2178141 (identifier) — IRS Employer Identification No.

FAQ

Key Financial Figures

• $0.001 — he "Shares") of common stock, par value $0.001 per share (the "Common Stock"), of the
• $0.18 — of the Company, at an offering price of $0.18 per share, and (B) 3,566,666 pre-funded
• $0.179 — f Common Stock, at an offering price of $0.179 (such registered direct offering, the "
• $2.55 m — gregate gross proceeds of approximately $2.55 million, before deducting Offering expens

Filing Documents

• vivakor_8k.htm (8-K) — 42KB
• vivakor_ex4-1.htm (EX-4.1) — 88KB
• vivakor_ex5-1.htm (EX-5.1) — 17KB
• vivakor_ex10-1.htm (EX-10.1) — 221KB
• vivakor_ex10-2.htm (EX-10.2) — 76KB
• vivakor_ex99-1.htm (EX-99.1) — 10KB
• ex5-1_001.jpg (GRAPHIC) — 16KB
• 0001829126-25-008779.txt ( ) — 738KB
• vivk-20251030.xsd (EX-101.SCH) — 3KB
• vivk-20251030_lab.xml (EX-101.LAB) — 33KB
• vivk-20251030_pre.xml (EX-101.PRE) — 22KB
• vivakor_8k_htm.xml (XML) — 4KB

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Item 1.01 Entry Into Material Definitive Agreement. On October 30, 2025, Vivakor, Inc. (the "Company") entered into a securities purchase agreement (the "Purchase Agreement") with institutional investors (the "Purchasers"), pursuant to which the Company agreed to issue and sell to the Purchasers in a registered direct offering (A) an aggregate of 10,600,000 shares (the "Shares") of common stock, par value $0.001 per share (the "Common Stock"), of the Company, at an offering price of $0.18 per share, and (B) 3,566,666 pre-funded warrants (the "Pre-Funded Warrants") in lieu of shares of Common Stock, at an offering price of $0.179 (such registered direct offering, the "Offering") for aggregate gross proceeds of approximately $2.55 million, before deducting Offering expenses payable by the Company, including the Placement Agent's commissions and fees. The Company intends to use the net proceeds from the Offering for working capital and general corporate purposes. The Offering closed on October 31, 2025. The Pre-Funded Warrants are immediately exercisable and may be exercised at a nominal consideration of $0.001 per share of Common Stock at any time until all of the Pre-Funded Warrants are exercised in full. The Pre-Funded Warrants contain ownership limitations pursuant to which a holder does not have the right to exercise any portion of their warrants if it would result in the holder (together with its affiliates) beneficially owning more than 4.99% (or, upon election by the holder prior to the issuance of any warrants, 9.99%) of the Company's outstanding Common Stock. In connection with the Offering, the Company also entered into a placement agency agreement (the "Placement Agency Agreement") with D. Boral Capital LLC (the "Placement Agent"), pursuant to which the Company paid the Placement Agent (i) a cash fee equal to 7% of the aggregate gross proceeds of the Offering, (ii) one percent (1.0%) of the gross proceeds of the Offering for non-accountable expenses,

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ITEM 8.01 Other Events. On October 30, 2025, the Company issued a press release announcing the pricing of the Offering. A copy of the press release is filed as Exhibit 99.1 to this Form 8-K and is incorporated herein by reference. 1

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ITEM 9.01 Fin ancial (d) Exhibits Exhibit No. Title 4.1 Form of Pre-Funded Warrant 5.1 Legal Opinion of Lucosky Brookman LLP 10.1 Form of Securities Purchase Agreement 10.2 Form of Placement Agency Agreement 99.1 Press Release, dated October 30, 2025 104 Cover Page Interactive Data File (formatted as Inline XBRL). 2

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 31, 2025 By: /s/ James H. Ballengee Name: James H. Ballengee Title: Chairman, President & CEO 3

View Full Filing

View this 8-K filing on SEC EDGAR