Current Report Filing (8-k)
26 Avril 2023 - 11:16PM
Edgar (US Regulatory)
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0001450704
2023-04-20
2023-04-20
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 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): April 20, 2023
VIVAKOR, INC.
(Exact
name of registrant as specified in its charter)
| Nevada |
|
001-41286 |
|
26-2178141 |
| (State or other jurisdiction
of |
|
(Commission |
|
(IRS Employer |
| incorporation or organization) |
|
File Number) |
|
Identification No.) |
4101 North Thanksgiving Way
Lehi,
UT 84043
(Address
of principal executive offices)
(949)
281-2606
(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:
| 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.
Item
3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
On
April 20, 2023, the Company received a notice (the “Notice”) from the Nasdaq Listing Qualifications staff of The Nasdaq Stock
Market LLC (“Nasdaq”) indicating that as a result of not having timely filed its Form 10-K, the Company is not in compliance
with Nasdaq Listing Rule 5250(c)(1), which requires listed companies to timely file all required periodic financial reports with the
Securities and Exchange Commission.
Pursuant
to the Notice, Nasdaq informed the Company that it is required to submit a plan (the “Plan”) to regain compliance with Nasdaq’s
continued listing requirements within 60 calendar days from the date of the Notice. If Nasdaq accepts the Company’s Plan, Nasdaq
may grant an exception of up to 180 calendar days from the due date of the Form 10-K, which is October 16, 2023, to regain compliance.
The
Company will file the Form 10-K as soon as practicable and anticipates that the Form 10-K will be filed prior to the date on which
the Company is required to submit the Plan; however, if the Form 10-K is not filed by such date, the Company will instead submit the
Plan.
The
Company issued a press release on April 26, 2023 disclosing the Company’s receipt of the Letter. A copy of the press release is
attached as Exhibit 99.1 hereto.
Item
9.01. Financial Statements and Exhibits
(d)
Exhibits.
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: April 26, 2023 |
By: |
/s/ James
Ballengee |
| |
|
Name: James Ballengee |
| |
|
Title: Chief Executive
Officer |
Vivakor (NASDAQ:VIVK)
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