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Ballengee James H. – ‘3’ for 8/1/22 re: Vivakor, Inc.

On:  Thursday, 8/11/22, at 5:37pm ET   ·   For:  8/1/22   ·   As:  10% Owner   ·   Accession #:  1683168-22-5572   ·   File #:  1-41286

Previous ‘3’:  ‘3’ on 6/29/15 for 6/24/15   ·   Latest ‘3’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 8/11/22  Ballengee James H.                3          10% Owner   1:5K   Vivakor, Inc.                     GlobalOne Filings Inc/FA

Initial Statement of Beneficial Ownership of Securities by an Insider   —   Form 3   —   SEA’34

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 3           Initial Statement of Beneficial Ownership of        HTML      6K 
                Securities by an Insider -- ownership.xml/2.6                    




        

This ‘3’ Document is an XML Data File that may be rendered in various formats:

  Form 3    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 

 
SEC Info rendering:  Initial Statement of Beneficial Ownership of Securities by an Insider
 
FORM 3UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0104
Estimated average burden
hours per response:0.5
1. Name and Address of Reporting Person*
Ballengee James H.

(Last)(First)(Middle)
5151 BELTLINE ROAD, SUITE 715

(Street)
DALLASTX75234

(City)(State)(Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
8/1/22
3. Issuer Name and Ticker or Trading Symbol
Vivakor, Inc. [ VIVK ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
DirectorX10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common stock, par value $0.0013,009,552ISee Footnote (1)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year)3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date ExercisableExpiration DateTitleAmount or Number of Shares
Promissory Note (2) 8/1/25Common stock (2) (2) (2)ISee Footnote (2)
Explanation of Responses:
(1)  Mr. Ballengee has beneficial ownership of shares owned by Jorgan Development, LLC (2,979,456 shares) and JBAH Holdings, LLC (30,096 shares).
(2)  August 1,2022, Vivakor, Inc. ("Vivakor") issued 3-year secured, convertible promissory notes ("Notes") in the aggregate principal amount of $28,664,284 to Jorgan Development, LLC ($28,337,641) and JBAH Holdings, LLC ($286,643). Payment of principal and interest is payable monthly on the twentieth day of the month with the first payment payable on September 20, 2022. Subject to compliance with Nasdaq Rule 5635(d), on each payment date, Vivakor can make payment of principal and interest in the form of unrestricted shares of Vivakor common stock valued at the five-day volume weighted average price for Vivakor's common stock during the 5 trading days immediately preceding the issuance date ("Stock"). No more than 50% of any monthly payment of principal and interest and no more than 50% of the original principal amount of the Notes can be paid in Stock without the consent of the applicable noteholder.
/s/ James Ballengee 8/11/22
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

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Filing Submission 0001683168-22-005572   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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