Attached files
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM 10-Q/A
(Amendment
No.1)
☑
QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE
ACT OF 1934
For the
quarterly period ended September 30, 2016
OR
For the
transition period from ____________ to ____________
Commission
file number: 0-25958
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CAPITAL FINANCIAL HOLDINGS, INC.
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(Exact
name of registrant as specified in its charter)
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North
Dakota
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45-0404061
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(State
or other jurisdiction of incorporation or
organization)
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(I.R.S.
Employer Identification
No.)
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1 Main
Street North
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Minot,
North Dakota 58703
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(Address
of principal executive offices) (Zip code)
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(701)
837-9600
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(Registrant's
telephone number, including area code)
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(Former
name, former address and former fiscal year, if changed since last
report)
Indicate
by check mark whether the registrant (1) has filed all reports
required to be filed by Section 13 or 15(d) of the Securities
Exchange Act of 1934 during the preceding 12 months (or for such
shorter period that the registrant was required to file such
reports), and (2) has been subject to such filing requirements for
the past 90 days. Yes ☑ No ☐
Indicate
by check mark whether the registrant has submitted electronically
and posted on its corporate Web site, if any, every Interactive
Data File required to be submitted and posted pursuant to Rule 405
of Regulation S-T during the preceding 12 months (or for such
shorter period that the registrant was required to submit and post
such files). Yes ☑ No ☐
Indicate
by check mark whether the registrant is a large accelerated filer,
an accelerated filer, a non-accelerated filer, or a smaller
reporting company. See the definitions of “large accelerated
filer,” “accelerated filer,” and “smaller
reporting company” in Rule 12b-2 of the Exchange
Act.
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Large
accelerated filer ☐
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Accelerated
filer ☐
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Non-accelerated
filer ☐
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Smaller
reporting company ☑
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Indicate
by check mark whether the registrant is a shell company (as defined
in Rule 12b-2 of the Exchange Act). Yes ☐ No
☑
As of
September 30, 2016, there were 1,241 common shares of the issuer
outstanding.
Explanatory Note
The purpose of the
Amendment No. 1 on Form 10–Q/A to Capital Financial Holdings,
Inc. quarterly report of Form 10–Q for the quarter ended
September 30, 2016, filed with the Securities and Exchange
Commission on November 10, 2016 (the “Form
10–Q”), is solely to furnish Exhibit 101 to the Form
10–Q in accordance with Rule 405 of Regulation
S–T.
No other changes
have been made to the Form 10–Q. This Amendment No. 1 speaks
as of the original filing date of the Form 10–Q, does not
reflect events that may have occurred subsequent to the original
filing date and does not modify or update in any way disclosures
made in the original Form 10–Q.
Pursuant to rule
406T of Regulation S–T, the interactive data files on Exhibit
101 hereto are deemed not filed or part of a registration statement
or prospectus for purposes of Sections 11 or 12 of the Securities
Act of 1933, as amended, are deemed not filed for purposes of
Section 18 of the Securities Act of 1934, as amended, and otherwise
are not subject to liability under those
sections.
Item 6.
Exhibits
Exhibits
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CEO
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act and
Rules 13a-14(a) and 15d-14(a) of the Exchange Act
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CFO
Certification Pursuant to Section 302 of the Sarbanes-Oxley Act and
Rules 13a-14(a) and 15d-14(a) of the Exchange Act
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CEO
Certification Pursuant to Section 906 of the Sarbanes-Oxley Act and
18 U.S.C. Section 1350
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CFO
Certification Pursuant to Section 906 of the Sarbanes-Oxley Act and
18 U.S.C. Section 1350
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CAPITAL FINANCIAL HOLDINGS, INC.
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 thereunto duly authorized.
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CAPITAL FINANCIAL HOLDINGS, INC.
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Date:
November 14,
2016
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By /s/
John Carlson
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John
Carlson
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Chief
Executive Officer & President
(Principal
Executive Officer)
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Date:
November 14,
2016
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By /s/
Elizabeth Colby
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Elizabeth
A. Colby
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Chief
Financial Officer & Corporate Secretary
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(Principal
Financial Officer)
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