Form 8-K

8-K — Vivakor, Inc.

Accession: 0001829126-26-008337

Filed: 2026-08-04

Period: 2026-07-29

CIK: 0001450704

SIC: 4953 (REFUSE SYSTEMS)

Item: Unregistered Sales of Equity Securities

Documents

8-K — vivakorinc_8k.htm (Primary)

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): July 29, 2026

VIVAKOR, INC.

(Exact name of registrant as specified in its charter)

Nevada

001-41286

26-2178141

(State or other jurisdiction of

incorporation or organization)

(Commission

File Number)

(IRS Employer

Identification No.)

5220 Spring Valley Road, Suite 500

Dallas, TX 75254

(Address of principal executive offices)

(469) 480-7175

(Registrant’s telephone number, including area code)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐

Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to

Section 12(b) of the Act: None

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common Stock

VIVK

The Nasdaq Stock Market LLC

(Nasdaq Capital Market)

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS

This Current Report on Form

8-K or this Report contains forward-looking statements. Any and all statements contained in this Report that are not statements of historical

fact may be deemed forward-looking statements. Terms such as “may,” “might,” “would,” “should,”

“could,” “project,” “estimate,” “pro-forma,” “predict,” “potential,”

“strategy,” “anticipate,” “attempt,” “develop,” “plan,” “help,”

“believe,” “continue,” “intend,” “expect,” “future” and terms of similar import

(including the negative of any of the foregoing) may be intended to identify forward-looking statements. However, not all forward-looking

statements may contain one or more of these identifying terms. Forward-looking statements in this Report may include, without limitation,

statements regarding the plans and objectives of management for future operations.

The forward-looking statements

are not meant to predict or guarantee actual results, performance, events or circumstances, and may not be realized because they are based upon our current projections, plans, objectives, beliefs,

expectations, estimates and assumptions and are subject to a number of risks and uncertainties and other influences, many of which we

have no control over. Actual results and the timing of certain events and circumstances may differ materially from those described by

the forward-looking statements as a result of these risks and uncertainties.

Readers

are cautioned not to place undue reliance on forward-looking statements because of the risks and uncertainties related to them. We disclaim

any obligation to update the forward-looking statements contained in this Report to reflect any new information or future events or circumstances

or otherwise, except as required by law.

Item 3.02

Unregistered Sales of Equity Securities.

As previously reported, on

August 12, 2025, the Company issued a convertible promissory note (the “Note”), to an accredited investor (the “Holder”),

in the principal amount of $647,059. The Company received $550,000, before fees.

On August 3, 2026, the Company

received a Notice of Conversion (the “Holder’s Notice of Conversion”) from the Holder converting $135,328 of the principal

amount and interest due under the Note into 139,513 shares of the Company’s common stock (the “Holder’s Shares”).

Pursuant to the terms of the Note and the Holder’s Notice of Conversion, the Company issued the Holder’s Shares. The Holder’s

Shares were issued without a Rule 144 restrictive legend pursuant to a legal opinion received by the Company and its transfer agent. The

issuances of the foregoing securities were exempt from registration pursuant to Section 4(a)(2) of the Securities Act promulgated thereunder

as the holder is an accredited investor and familiar with our operations. With this conversion all amounts due to the Holder under the

Note have been paid.

As previously reported, on

July 9, 2025, the Company issued a junior secured convertible promissory note (the “Second Note”) to J.J. Astor & Co.

(the “J.J. Astor”), in the principal amount of $5,940,000 (the “Principal Amount”), in relation to a Loan and

Security Agreement by and between the Company, its subsidiaries, and J.J. Astor (the “Loan Agreement”). The Company received

$4,400,000, before fees.

Between July 29, 2026 and

August 3, 2026, the Company received Notices of Conversion from J.J. Astor converting an aggregate of $1,199,342.24 of the amount due

under the Second Note into an aggregate of 1,160,000 shares of the Company’s common stock (the “J.J. Astor Shares”).

Pursuant to the terms of the Second Note and the Notices of Conversion, the Company issued the J.J. Astor Shares. The J.J. Astor Shares

were issued without a Rule 144 restrictive legend pursuant to a legal opinion received by the Company and its transfer agent. The issuances

of the foregoing securities were exempt from registration pursuant to Section 4(a)(2) of the Securities Act promulgated thereunder as

the holder is an accredited investor and familiar with our operations.

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: August 4, 2026

By:

/s/

James H. Ballengee

Name:

James

H. Ballengee

Title:

Chairman,

President & CEO

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