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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13\nor 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): October 9, 2026

VIVAKOR, INC.

(Exact name of registrant as specified in its charter)

\n \n \n \n \n \n \n \n \n \n \n \n \n

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:

\n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n

☐	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\nSection 12(b) of the Act: None

\n \n \n \n \n \n \n \n \n \n \n \n \n

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\nNOTE REGARDING FORWARD-LOOKING STATEMENTS

This\nCurrent Report on Form 8-K or this Report contains forward-looking statements. Any and all statements contained in this Report that are\nnot statements of historical fact may be deemed forward-looking statements. Terms such as “may,” “might,” “would,”\n“should,” “could,” “project,” “estimate,” “pro-forma,” “predict,”\n“potential,” “strategy,” “anticipate,” “attempt,” “develop,” “plan,”\n“help,” “believe,” “continue,” “intend,” “expect,” “future” and\nterms of similar import (including the negative of any of the foregoing) may be intended to identify forward-looking statements. However,\nnot all forward-looking statements may contain one or more of these identifying terms. Forward-looking statements in this Report may\ninclude, without limitation, statements regarding the plans and objectives of management for future operations.

The\nforward-looking statements are not meant to predict or guarantee actual results, performance, events or circumstances, and may not be\nrealized because they are based upon our current projections, plans, objectives, beliefs, expectations, estimates and assumptions and\nare subject to a number of risks and uncertainties and other influences, many of which we have no control over. Actual results and the\ntiming of certain events and circumstances may differ materially from those described by the forward-looking statements as a result of\nthese risks and uncertainties.

Readers\nare cautioned not to place undue reliance on forward-looking statements because of the risks and uncertainties related to them. We disclaim\nany obligation to update the forward-looking statements contained in this Report to reflect any new information or future events or circumstances\nor otherwise, except as required by law.

\n \n \n \n

Item\n 3.02

Unregistered\n Sales of Equity Securities.

As\npreviously reported, on July 9, 2025, the Company issued a junior secured convertible promissory note (the “Second Note”)\nto J.J. Astor & Co. (the “J.J. Astor”), in the principal amount of $5,940,000 (the “Principal Amount”), in\nrelation to a Loan and Security Agreement by and between the Company, its subsidiaries, and J.J. Astor (the “Loan Agreement”).\nThe Company received $4,400,000, before fees. As a result of the below conversions, the Company has satisfied its obligations under the\nSecond Note.

On\nOctober 9, 2026, the Company received Notices of Conversion from J.J. Astor converting an aggregate of $1,972,472.08 of the amount due\nunder the Second Note into an aggregate of 878,255 shares of the Company’s common stock (the “J.J. Astor Shares”).\nPursuant 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\nwere issued without a Rule 144 restrictive legend pursuant to a legal opinion received by the Company and its transfer agent. The issuances\nof the foregoing securities were exempt from registration pursuant to Section 4(a)(2) of the Securities Act promulgated thereunder as\nthe holder is an accredited investor and familiar with our operations.

\n \n \n \n

Item\n 9.01

FINANCIAL\n STATEMENTS AND EXHIBITS.

\n \n \n \n \n

(d)

Exhibits

\n \n \n \n \n \n \n \n \n

Exhibit\n No.		Title
104		Cover Page Interactive Data File (formatted as Inline\n XBRL).

SIGNATURES

Pursuant to the requirements\nof the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto\nduly authorized.

\n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n \n

	VIVAKOR, INC.

Dated: October 15, 2026	By:	/s/ James H. Ballengee
		Name:	James H. Ballengee
		Title:	Chairman, President & CEO

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