---
schema_version: "secwatch.filing_event.v1"
accession: "0001829126-26-011193"
form_type: "8-K"
ticker: "VIVK"
cik: "0001450704"
company_name: "Vivakor, Inc."
filed_at: "2026-10-15T21:14:26+00:00"
generated_at: "2026-10-15T21:16:04.416502+00:00"
event_type: "debt"
sentiment: "neutral"
materiality_score: 0.4
calibrated_materiality_score: 0.4
confidence: "high"
source: SEC EDGAR
---

# Vivakor converts $1.97M of J.J. Astor note into 878,255 shares, retiring $5.94M Second Note

## Summary
- J.J. Astor converted $1,972,472.08 of Second Note debt into 878,255 common shares per Notices of Conversion dated Oct. 9, 2026 (~$2.25 implied per share).
- Conversions satisfy Vivakor's remaining obligations under the $5,940,000 junior secured convertible promissory note issued July 9, 2025.
- The Second Note stemmed from a Loan and Security Agreement with J.J. Astor; Vivakor received $4,400,000 before fees on the original principal.
- Shares were issued without a Rule 144 restrictive legend; exemption claimed under Section 4(a)(2), holder an accredited investor.
- Issuance adds 878,255 shares of dilution outstanding; 8-K signed by Chairman/President/CEO James H. Ballengee and dated Oct. 15, 2026.

## SEC filing metadata
- accession: 0001829126-26-011193
- form_type: 8-K
- ticker: VIVK
- cik: 0001450704
- company_name: Vivakor, Inc.
- filed_at: 2026-10-15T21:14:26+00:00
- event_type: debt
- sentiment: neutral
- materiality_score: 0.4
- calibrated_materiality_score: 0.4
- confidence: high
- sec_items: 3.02, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/1450704/000182912626011193/0001829126-26-011193-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/1450704/000182912626011193/vivakorinc_8k.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001829126-26-011193
- JSON: https://secwatch.observer/filing/0001829126-26-011193.json
- Plain text: https://secwatch.observer/filing/0001829126-26-011193.txt

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.