8-K
filed December 16, 2025, 6:59 PM ET
ticker VIVK
CIK 0001450704
regulatory
confidence high
sentiment negative
materiality 0.75
Vivakor receives Nasdaq non-compliance notice for October 2025 offerings requiring shareholder approval
Vivakor, Inc.
- Nasdaq Staff determined Oct 24 and Oct 30 offerings violated Rule 5635(d) by exceeding 20% of pre-transaction shares at discount to Minimum Price.
- Company has 45 days to submit a plan to regain compliance; if accepted, up to 180-day extension may be granted.
- Between Dec 10-15, 2025, $507,172.86 of convertible notes were converted into 15,427,519 shares without restrictive legend.
- No immediate delisting; company plans to seek shareholder approval for the October offerings.
- October 24 Offering: 10,909,090 shares + 5M pre-funded warrants at $0.22; October 30: 10,600,000 shares + 3,566,666 pre-funded warrants at $0.18.
Machine-readable event card
- schema_version
- secwatch.filing_event.v1
- accession
- 0001829126-25-010054
- form_type
- 8-K
- ticker
- VIVK
- cik
- 0001450704
- company_name
- Vivakor, Inc.
- filed_at
- 2025-12-16T23:59:59+00:00
- discovered_at
- 2026-05-14T18:02:39.437675+00:00
- generated_at
- 2026-05-16T13:01:41.784148+00:00
- sec_items
- ["3.01", "3.02"]
- event_type
- regulatory
- sentiment
- negative
- materiality_score
- 0.75
- calibrated_materiality_score
- 0.75
- confidence
- high
- secwatch_canonical_url
- https://secwatch.observer/filing/0001829126-25-010054
- json_url
- https://secwatch.observer/filing/0001829126-25-010054.json
- markdown_url
- https://secwatch.observer/filing/0001829126-25-010054.md
- text_url
- https://secwatch.observer/filing/0001829126-25-010054.txt
- edgar_index_url
- https://www.sec.gov/Archives/edgar/data/1450704/000182912625010054/0001829126-25-010054-index.htm
- edgar_primary_document_url
- https://www.sec.gov/Archives/edgar/data/1450704/000182912625010054/vivakorinc_8k.htm
- generated_by_model
- deepseek-v4-flash:cloud@v2
- review_status
- machine_generated
- human_reviewed
- false
- corrected
- false
- correction_note
- null
- correction_timestamp
- null
- superseded_by
- null
Comparable filings
XHLD
TEN Holdings receives Nasdaq equity deficiency notice; issues 500k shares for $500k
TEN Holdings, Inc.
May 26, 2026, 4:05 PM ET
regulatory
Items 1.01, 3.01, 3.02, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 3.02
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
May 26, 2026, the Company received a deficiency letter from the Listing Qualifications Department (the “ Staff ”)
of The Nasdaq Stock Market LLC (“ Nasdaq ”), notifying the Company that it is not in compliance with Nasda
Filing page
SEC filing
SBEV
Splash Beverage receives NYSE delisting notice; shareholders' equity negative $15.3M
SPLASH BEVERAGE GROUP, INC.
May 5, 2026, 7:59 PM ET
regulatory
Items 1.01, 1.02, 3.01, 3.02, 5.03, 7.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01, 3.02
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
April 29, 2026, the Company received notice from NYSE Regulation (the “NYSE”)
that the Company is not in compliance with the shareholders’ equity requirement of $6 million as of December 31, 2025 as outlined
in Section 1
Filing page
SEC filing
ISPC
iSpecimen flagged for Nasdaq equity shortfall; equity $814K vs $2.5M minimum
iSpecimen Inc.
June 1, 2026, 5:00 PM ET
regulatory
Items 3.01
same fact type: exchange_compliance_notice
same SEC item: 3.01
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
May 29, 2026, iSpecimen Inc. (the “Company”)
received a letter (the “Notice”) from the Listing Qualifications Department of The Nasdaq Stock Market LLC (“Nasdaq”)
notifying the Company that it no longer complies with Nasdaq Listing Rule 5550(b)(1) (the “Rule”), which requires a minimum
of $2,500,000 in stockholders’ equity for continued listing on the Nasdaq Capital Market (the “Capital Market”). As reported in the Company’s Quarterly Report
on Form 10-Q for the period ended March 31, 2026, the Company had stockholders’ equity of $814,038. Nasdaq noted that, as of May
29, 2026, the Company doe
Filing page
SEC filing
GENC
Gencor receives NYSE American delinquency notice for late Q2 2026 10-Q filing
GENCOR INDUSTRIES INC
June 1, 2026, 4:09 PM ET
regulatory
Items 3.01, 7.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
May 19, 2026, Gencor Industries, Inc. (the “Company”) received a notice (the “Delinquency Notification”) from NYSE Regulation (the “NYSE”) indicating the Company was not in compliance with the NYSE American LLC (“NYSE American”) continued listing standards as a result of its failure to timely file its Quarterly Report on Form 10-Q for the period ended March 31, 2026 (the “Form 10-Q”) with the Securities and Exchange Commission (“SEC”) prior to May 18, 2026, the end of the extension period provided by Form 12b-25, and as a result was subject to the procedures set forth in Section 1007 of the NY
Filing page
SEC filing
HWH
HWH International receives Nasdaq deficiency notice for equity below $2.5M threshold
HWH International Inc.
May 29, 2026, 5:21 PM ET
regulatory
Items 3.01
same fact type: exchange_compliance_notice
same SEC item: 3.01
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
May 29, 2026 HWH International Inc. (the “Company”) received a letter (the “Letter”) from the Listing Qualifications
Department of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company was not in compliance with the minimum stockholders’
equity requirement for continued listing on the Nasdaq Capital Market, under Listing Rule 5550(b)(1) because the Company’s stockholders’
equity of $2,078,220 as reported in the Company’s Quarterly Report on Form 10-Q for the period ended March 31, 2026 was below the
required minimum of $2.5 million, and because, as of May 29, 2026, the Company did
Filing page
SEC filing
ATNM
Actinium receives NYSE American non-compliance notice for low stockholders' equity; must submit plan by June 26
Actinium Pharmaceuticals, Inc.
May 29, 2026, 5:10 PM ET
regulatory
Items 3.01, 7.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
May 27, 2026, Actinium Pharmaceuticals, Inc.
(the “Company”) received a notice (the “Notice”) from NYSE American LLC (“NYSE American”) indicating
that the Company is not in compliance with the continued listing standards set forth in Section 1003(a)(ii) of the NYSE American Company
Guide (the “Company Guide”), which requires a listed company to maintain stockholders’ equity of $4.0 million or more
if it has reported losses from continuing operations and/or net losses in three of its four most recent fiscal years. As of March 31,
2026, the Company reported stockholders’ equity of approximately
Filing page
SEC filing
CSAI
Cloudastructure receives Nasdaq delinquency notice for late Q1 10-Q filing
CLOUDASTRUCTURE, INC.
May 29, 2026, 5:09 PM ET
regulatory
Items 3.01, 9.01
same fact type: exchange_compliance_notice
same SEC item: 3.01
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
May 26, 2026, Cloudastructure,
Inc. (the “Company”) received a notice (the “Notice”) from the Nasdaq Listing Qualifications staff of The Nasdaq
Stock Market LLC (“Nasdaq”) indicating that, as a result of not having timely filed its Quarterly Report on Form 10-Q for
the period ended March 31, 2026 (“Form 10-Q”), the Company is not in compliance with Nasdaq Listing Rule 5250(c)(1), which
requires timely filing of all required periodic financial reports with the Securities and Exchange Commission. The Company requires additional
time to review and confirm the accounting treatment for its outstand
Filing page
SEC filing
EDBL
Edible Garden receives Nasdaq delisting notice for bid price non-compliance; intends to appeal
Edible Garden AG Inc
May 29, 2026, 5:00 PM ET
regulatory
Items 3.01
same fact type: exchange_compliance_notice
same SEC item: 3.01
same event type: regulatory
similar materiality
This filing
December 11, 2025, Vivakor,
Inc., a Nevada corporation (the “Company”), received a written notification (the “Notice”) from the Listing Qualifications
Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) stating that based on the Staff’s review
of the Company’s issuances of shares of common stock and prefunded warrants in connection with the Company’s registered direct
offerings conducted in October 2025, the Staff has determined that the Company failed to comply with Nasdaq Listing Rule 5635(d)
in relation to certain of the offerings, which requires prior shareholder approval fo
Comparable filing
May 27, 2026, Edible Garden AG Incorporated (the “Company”) received a letter from the Listing Qualifications Department (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the closing bid price of the Company’s common stock for at least 30 consecutive business days, the Company no longer meets Nasdaq Listing Rule 5550(a)(2), which requires listed companies to maintain a minimum bid price of at least $1 per share (the “Bid Price Rule”). Under Nasdaq Listing Rule 5810(c)(3)(A)(iv), because the Company has effected a reverse stock split over the prior one-year per
Filing page
SEC filing
This headline and bullets were generated automatically by deepseek-v4-flash:cloud@v2 from the public filing. Read the source on SEC.gov before relying on any specific claim. Not investment advice.
See methodology for how this pipeline works.