Attached files
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| EX-99.1 - CAPSTONE COMPANIES, INC. | form8ka030117ex99-1.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM 8-K/A
(Amendment Number One)
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CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF
THE SECURITIES EXCHANGE ACT OF 1934
Date of Report: March 2, 2017
Earliest Event Date requiring this Report: March 1, 2017
DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED)
CAPSTONE COMPANIES, INC.
(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)
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FLORIDA
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0-28331
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84-1047159
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(State of Incorporation or Identification No.)
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(Commission File Number)
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(I.R.S. Employer Organization)
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350 Jim Moran Blvd.
Suite 120
Deerfield Beach, Florida 33442
(Address of principal executive offices)
(954) 570-8889, Est. 313
(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 (see General Instruction A.2. below):
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Solicitation 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))
Item 1.01 Entry into Material Definitive Agreement.
As previously reported on the Current Report on Form 8-K filed by Capstone Companies, Inc., a Florida corporation, ("Company"), with the Commission on March 2, 2017, Company has engaged Wellington Capital Securities, LLC ("Wellington") for financial advisory services. The Company issued a press release on March 1, 2017 announcing this engagement of Wellington, which press release is attached to this Current Report on Form 8-K/A as Exhibit 99.1.
In accordance with General Instruction B.2 on Form 8-K, the information set forth in Item 1.01 and the press release attached to this Current Report of Form 8-K/A as Exhibit 99.1 are each "furnished" and shall not be deemed to be "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section, nor shall such information be deemed incorporated by reference in any filing under the Securities Exchange Act of 1934, as amended, or the Securities Act of 1933, as amended.
ITEM 9.01. Financial Statements and Exhibits.
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EXHIBIT NUMBER
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EXHIBIT DESCRIPTION
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99.1
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March 1, 2017 Press Release by Capstone Companies, Inc. concerning engagement of
Wellington Capital Securities, LLC
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
CAPSTONE COMPANIES, INC., A FLORIDA CORPORATION
Date: March 2, 2017
By: /s/ James McClinton
Chief Financial Officer