Vivakor, Inc. (VIVK): Nasdaq/NYSE listing notice — 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.

Key facts

Extracted from this filing and checked against the source text.

Equity Issuances SEC 8-K Item 3.02/3.03 confidence 0.9

Vivakor, Inc. issued 15,427,519 shares of the Company’s common stock of common stock to seven non-affiliated accredited investors for $507,172.86 of the amounts due under the Lender Notes.

Security: common stock
Shares: 15,427,519 shares of the Company’s common stock
Purchaser: seven non-affiliated accredited investors
Consideration: $507,172.86 of the amounts due under the Lender Notes

Exact text from the filing

Between December 10, 2025 and December 15, 2025, the Company received eight Notices of Conversion from the Lenders converting a total of $507,172.86 of the amounts due under the Lender Notes into 15,427,519 shares of the Company’s common stock (the “Lender Shares”).

View on SEC.gov

Listing & Compliance Notices SEC 8-K Item 3.01 confidence 0.9

Vivakor, Inc. received a nasdaq deficiency notice notice regarding other (rules 5635(d)).

Exchange: nasdaq
Notice: deficiency notice
Rules: 5635(d)

Exact text from the 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

View on SEC.gov

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Vivakor, Inc. filing history →

Source: SEC EDGAR

accession 0001829126-25-010054

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