Recent 8-K filings for VIVK

• May 14, 2026, 5:10 PM ET debt materiality 0.75 neutral item 1.01item 3.02item 7.01item 9.01

  Vivakor closes $12M institutional convertible note offering, enters $100M equity line

  First closing of $6M received; second $6M tranche pending; total gross proceeds $12M from convertible notes with $15M principal (20% OID).

• May 12, 2026, 5:25 PM ET debt materiality 0.85 negative item 1.01item 3.02item 9.01

  Vivakor enters forbearance agreements with J.J. Astor & Cedarview, restructuring $7.93M debt

  J.J. Astor forbearance: $6.82M Second Note + $1.11M Fourth Note due; repayment from RBW Financing (first close by May 7, 2026) and Olenox Transaction.

• May 5, 2026, 7:59 PM ET other material materiality 0.70 positive item 7.01item 8.01item 9.01

  Vivakor secures $72M crude oil contract; resets special dividend payment to June 30, 2026

  Vivakor Supply & Trading executed a recurring $72M crude oil transaction ($6M/month) through May 2027, including transportation services.

• April 28, 2026, 7:59 PM ET regulatory materiality 0.70 positive item 3.01 ◈ Listing & Compliance Notices

  Vivakor regains Nasdaq compliance; trading to resume April 27 after reverse stock split

  Nasdaq Hearing Panel determined Vivakor is compliant with the $1.00 minimum bid price requirement.

• March 19, 2026, 7:59 PM ET regulatory materiality 0.60 neutral item 7.01item 8.01item 9.01

  Vivakor granted Nasdaq listing extension until April 30, 2026 to meet $1.00 bid price; public reprimand issued

  Nasdaq Hearings Panel granted continued listing contingent on $1.00 minimum bid price for 10 consecutive trading days by April 30, 2026.

• March 5, 2026, 6:59 PM ET debt materiality 0.75 negative item 1.01item 3.02item 9.01

  Vivakor borrows $750K from J.J. Astor; issues Fourth Note, pledges Oklahoma property

  Borrowed $750K ($710K net after fees) via Fourth Junior Secured Convertible Promissory Note to J.J. Astor.

• February 5, 2026, 6:59 PM ET debt materiality 0.80 negative item 1.01item 9.01 ◈ Material Agreements

  Vivakor enters forbearance on $6M note; extends maturity to Jan 2027 with escalating payments

  Outstanding principal ~$5.996M; maturity extended from Jan 7, 2026 to Jan 1, 2027; interest reduced to 9% during forbearance.

• February 4, 2026, 6:59 PM ET debt materiality 0.90 neutral item 1.01item 3.02item 9.01 ◈ Material Agreements

  Vivakor enters forbearance agreements with seven lenders, extends note maturity to Jan 31, 2027, and issues 56.2M shares

  Company owed approximately $2,242,793 on convertible notes as of Jan 30, 2026, having paid $2,874,854 since issuance.

• January 7, 2026, 6:59 PM ET other material materiality 0.85 negative item 1.01item 3.02item 9.01 ◈ Material Agreements

  Vivakor enters forbearance on $3.96M default; issues 37.9M shares on debt conversion

  Default on $3.67M secured note to Cedarview leads to forbearance through Jan 23, 2026; long-term extension to Jan 2027 planned.

• December 30, 2025, 6:59 PM ET other material materiality 0.85 negative item 3.02item 7.01item 9.01

  Vivakor resets special dividend to April 2026; converts $2.42M debt into 159.9M shares

  Special dividend of Adapti shares reset to April 30, 2026 due to SEC filing delays from government shutdown.

• December 29, 2025, 6:59 PM ET regulatory materiality 0.90 negative item 3.01 ◈ Listing & Compliance Notices ×2

  Vivakor receives Nasdaq delisting notice; trading suspended Dec 26

  Closing bid price fell below $0.10 for 10 consecutive days, triggering Low Priced Stocks Rule.

• December 23, 2025, 6:59 PM ET M&A materiality 0.75 positive item 5.03item 5.07item 7.01item 9.01 ◈ Governance Changes

  Vivakor shareholders approve reverse split, authorized share increase; signs LOI to buy Coyote Oilfield Services

  Shareholders approved reverse stock split, increase in authorized shares, and other proposals at Dec 22 special meeting.

• December 16, 2025, 6:59 PM ET regulatory materiality 0.75 negative item 3.01item 3.02 ◈ Listing & Compliance Notices

  Vivakor receives Nasdaq non-compliance notice for October 2025 offerings requiring shareholder approval

  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.

• December 10, 2025, 6:59 PM ET other material materiality 0.60 neutral item 3.02item 7.01item 9.01

  Vivakor enters Mexico fuel trade; note conversions trigger share issuance

  First international fuel transaction into Mexico via Vivakor Supply & Trading.

• December 3, 2025, 6:59 PM ET other material materiality 0.70 positive item 7.01item 9.01

  Vivakor updates investor deck; highlights debt reduction and Q3 financials

  Divested water trucking in Q3 2025; reduced debt by over $50M.

• November 28, 2025, 6:59 PM ET other material materiality 0.75 neutral item 1.01item 3.02item 3.03item 9.01

  Vivakor extinguishes $569K CEO note, suspends preferred dividend, grants voting rights to Series A holders

  CEO-controlled Ballengee Holdings forgives $569,589 convertible note; Series A preferred holders forgo 6% annual dividend for one year.

• November 19, 2025, 6:59 PM ET other material materiality 0.60 neutral item 3.02

  Vivakor issues 8.1M shares on $623,528 in note conversions by two lenders

  J.J. Astor converted $150k on Nov 14 into 1,855,861 shares.

• November 12, 2025, 6:59 PM ET litigation materiality 0.75 negative item 1.01item 3.02item 5.02item 9.01

  Vivakor settles lawsuit with ex-CFO for $2M; former GC resigns with $200K package

  Settlement with former CFO Tyler Nelson for $2M: $250k paid on signing, $100k in 30 days, $100k in 60 days, $1.55M in 90 days.

• October 31, 2025, 7:59 PM ET other material materiality 0.70 neutral item 1.01item 8.01item 9.01

  Vivakor raises ~$2.55M via registered direct offering of common stock and pre-funded warrants

  Issued 10.6M shares at $0.18/share and 3.566M pre-funded warrants at $0.179 (nominal exercise $0.001) for gross proceeds ~$2.55M.

• October 30, 2025, 7:59 PM ET other material materiality 0.65 positive item 7.01item 9.01

  Vivakor's trading platform launches with $24M crude oil transaction in Permian Basin

  Vivakor Supply & Trading initiated first major $24M crude oil transaction in Permian Basin.

• October 27, 2025, 7:59 PM ET other material materiality 0.65 neutral item 1.01item 8.01item 9.01

  Vivakor raises $3.5M in registered direct offering of common stock and pre-funded warrants

  Issued 10,909,090 common shares at $0.22/sh and 5,000,000 pre-funded warrants at $0.219/sh for $3.5M gross proceeds.

• October 23, 2025, 7:59 PM ET other material materiality 0.75 neutral item 1.01item 7.01item 9.01

  Vivakor closes $40M commodity facility and settles lawsuit for $1.65M

  $40M commodity intermediation facility closed; provides credit support (LCs, bonds, cash) for crude oil trading platform.

• October 17, 2025, 7:59 PM ET other material materiality 0.80 negative item 3.02

  Vivakor issues ~10.9M shares on conversion of $1.05M convertible note

  Lender J.J. Astor & Co. converted $350k each on Oct 10, 15, 16 into 3.3M, 3.8M, 3.8M shares.

• October 17, 2025, 7:59 PM ET other material materiality 0.65 neutral item 1.01item 8.01item 9.01

  Vivakor raises $5M in registered direct offering of common stock and pre-funded warrants

  Offering includes 8,417,645 shares at $0.2164/share and 14,689,851 pre-funded warrants at $0.2154/warrant.

• October 14, 2025, 7:59 PM ET debt materiality 0.75 negative item 1.01item 3.02item 9.01

  Vivakor defaults on notes, enters forbearance, gets $1.15M new loan; all debt due Nov 30, 2025

  Default on Initial Note ($2.26M) and Second Note ($5.69M) as of Aug 25, 2025; Lender forbears until Nov 30, 2025.

• October 8, 2025, 7:59 PM ET other material materiality 0.60 negative item 3.02

  Vivakor issues 6.49M shares upon conversion of $900k note to J.J. Astor; also issues 82.5k incentive shares

  On Oct 2 and Oct 6 2025, J.J. Astor converted $400k and $500k of principal into 2,991,773 and 3,496,503 shares (total 6,488,276 shares) of common stock.

• September 23, 2025, 7:59 PM ET debt materiality 0.80 negative item 1.01item 2.04item 3.02 ◈ Debt Financings

  Vivakor default accelerates $7.66M debt; lender converts $200K into shares

  Received default notice from J.J. Astor & Co. on Sept. 17, 2025 under $6.625M junior secured convertible note.

• September 17, 2025, 7:59 PM ET regulatory materiality 0.60 negative item 5.07item 7.01item 8.01item 9.01

  Vivakor gets 180-day Nasdaq extension to March 2026 to meet $1 bid price; reverse split authorized

  Nasdaq granted 180-day extension until March 16, 2026, to regain minimum $1 bid price compliance.

• August 19, 2025, 7:59 PM ET dividend materiality 0.60 neutral item 7.01item 9.01

  Vivakor resets record date for special dividend of Adapti shares to September 5, 2025

  Vivakor (NASDAQ:VIVK) announced it reset the record date for its previously-announced special dividend from August 20, 2025 to September 5, 2025.

• August 18, 2025, 7:59 PM ET leadership materiality 0.65 positive item 1.01item 5.02item 7.01item 9.01

  Vivakor appoints Kimberly Hawley as CFO and Les Patterson as COO to strengthen leadership team

  Patterson gets $375k base salary, $125k annual equity, and a $250k signing bonus in stock.

• August 6, 2025, 7:59 PM ET M&A materiality 0.80 negative item 1.01item 5.02item 7.01item 9.01

  Vivakor sells two subsidiaries for $11M in preferred stock; enters forbearance on lease defaults

  Sells Meridian Equipment Leasing and Equipment Transport for $11,058,235 in Series A Convertible Preferred Stock.

• July 24, 2025, 7:59 PM ET leadership materiality 0.75 negative item 1.01item 5.02item 8.01item 9.01

  Vivakor CFO Tyler Nelson resigns effective immediately citing disagreements; Kimberly Hawley appointed as CFO

  Tyler Nelson resigned as CFO and Board member effective July 19, 2025, citing disagreements over financial reporting, authorization policies, and internal control weaknesses.

• July 21, 2025, 7:59 PM ET debt materiality 0.80 negative item 1.01item 3.02item 9.01

  Vivakor restructures debt with J.J. Astor, receives additional $4.4M convertible loan

  Forbearance on $6.15M note; principal increased to $6.77M (110%); fees and past due interest $906k due Jan 7, 2026.

• June 11, 2025, 7:59 PM ET debt materiality 0.60 neutral item 3.02item 9.01

  Vivakor issues $5.12M convertible notes to accredited investors

  Issued $5,117,647 aggregate principal convertible notes to seven non-affiliated accredited investors.

• June 3, 2025, 7:59 PM ET earnings materiality 0.80 neutral item 3.02item 7.01item 9.01

  Vivakor Q1 revenue rises 133% to $37.3M; net loss widens to $7.5M; special dividend of Adapti shares

  Revenue $37.3M (+133% YoY); gross profit $4.8M (+345%); net loss $7.5M ($0.21 loss per share).

• April 15, 2025, 7:59 PM ET debt materiality 0.65 negative item 1.01item 3.02item 9.01

  Vivakor restructures Cedarview loan; owes $3.77M, issues 300k shares and % of future proceeds

  Side letter amends Oct 2024 loan; balance $3,768,678.08 as of March 1, 2025.

• March 21, 2025, 7:59 PM ET regulatory materiality 0.80 negative item 1.01item 3.01item 3.02item 9.01

  Vivakor receives Nasdaq bid price deficiency notice; issues $6.625M convertible note

  Nasdaq deficiency letter for bid price <$1.00 for 30 days; 180-day cure period ends Sept 15, 2025.

• February 27, 2025, 6:59 PM ET other material materiality 0.65 negative item 1.01item 3.02item 5.03item 8.01item 9.01

  Vivakor amends 8-K; hires consultant for up to $1.3M/yr, extends CFO note with 5% penalty, issues stock to insiders

  Entered consulting with WSGS for up to $1.3M/yr in stock; 1-yr term with option for second year.

• February 14, 2025, 6:59 PM ET other material materiality 0.60 neutral item 1.01item 3.02item 5.03item 8.01item 9.01

  Vivakor enters consulting deal with WSGS LLC for up to $1.3M/yr in stock; CFO note extended

  Consulting agreement with WSGS, LLC for management integration; annual fee up to $1.3M, paid in registered stock.

• December 13, 2024, 6:59 PM ET M&A materiality 0.75 neutral item 9.01

  Vivakor files financial statements for acquired Endeavor Entities; combined sales $52.5M in 2023

  Sales $52.5M, net income $3.6M for Endeavor Crude, Meridian, Equipment Transport combined in 2023.

• December 6, 2024, 6:59 PM ET other material materiality 0.70 neutral item 3.02

  Vivakor issues 6.7M shares as partial consideration for $120M Endeavor purchase

  Issued 6,700,000 shares of common stock to Sellers on Dec 2, 2024, as part of MIPA.

Executive changes

Materiality & sentiment trend

Max materiality 0.90 · Median 0.70 · Most common event other_material

6 positive 21 negative 23 neutral

source · VIVK on sec.gov