Notification That Quarterly Report Will Be Submitted Late (nt 10-q)
August 14 2019 - 12:35PM
Edgar (US Regulatory)
UNITED
STATES
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OMB
APPROVAL
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SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
12b-25
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OMB
Number:
Expires:
Estimated average
burden
hours per
response
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3235-0058
February 28,
2022
2.50
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SEC FILE
NUMBER
000-25958
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NOTIFICATION
OF LATE FILING
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CUSIP
NUMBER
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(Check one):
☐
Form 10-K
☐
Form
20-F
☐
Form 11-K
☒
Form
10-Q
☐
Form 10-D
☐
Form
N-SAR
☐
Form N-CSR
For Period
Ended:
June 30,
2019
☐
Transition
Report on Form 10-K
☐
Transition
Report on Form 20-F
☐
Transition
Report on Form 11-K
☐
Transition
Report on Form 10-Q
☐
Transition
Report on Form N-SAR
For the
Transition Period Ended:
__________________________________________________
Read Instruction (on back page) Before Preparing Form. Please Print
or Type.
Nothing
in this form shall be construed to imply that the Commission has
verified any information contained herein.
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If the notification
relates to a portion of the filing checked above, identify the
Item(s) to which the notification relates:
PART
I — REGISTRANT INFORMATION
Capital Financial
Holdings, Inc.
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Full Name of
Registrant
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Former Name if
Applicable
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1821 Burdick
Expressway W.
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Address of
Principal Executive Office
(Street
and Number)
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Minot, North Dakota
58701
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City, State and Zip
Code
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PART
II — RULES 12b-25(b) AND (c)
If the subject
report could not be filed without unreasonable effort or expense
and the registrant seeks relief pursuant to Rule 12b-25(b), the
following should be completed. (Check box if
appropriate)
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(a)
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The reason
described in reasonable detail in Part III of this form could not
be eliminated without unreasonable effort or expense;
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☒
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(b)
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The subject annual
report, semi-annual report, transition report on Form 10-K, Form
20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will
be filed on or before the fifteenth calendar day following the
prescribed due date; or the subject quarterly report or transition
report on Form 10-Q or subject distribution report on Form 10-D, or
portion thereof, will be filed on or before the fifth calendar day
following the prescribed due date; and
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(c)
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The
accountant’s statement or other exhibit required by Rule
12b-25(c) has been attached if applicable.
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PART
III — NARRATIVE
State below in
reasonable detail why Forms 10-K, 20-F, 11-K, 10-Q, N-SAR, N-CSR,
or the transition report or portion thereof, could not be filed
within the prescribed time period.
Management requires
additional time to compile data to furnish to its professionals to
complete the Form 10-Q for the quarter ended June 30,
2019.
SEC 1344
(04-09)
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Persons
who are to respond to the collection of information contained in
this form are not required to respond unless the form displays a
currently valid OMB control number.
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(Attach extra
Sheets if Needed)
PART
IV — OTHER INFORMATION
(1)
Name and telephone
number of person to contact in regard to this
notification.
Gordon
Dihle
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(720)
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458-4120
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(Name)
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(Area
Code)
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(Telephone
Number)
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(2)
Have all other
periodic reports required under Section 13 or 15(d) of the
Securities Exchange Act of 1934 or Section 30 of the Investment
Company Act of 1940 during the preceding 12 months or for such
shorter period that the registrant was required to file such
report(s) been filed? If answer is no, identify report(s).Yes
☒
No
⬜
(3)
Is it anticipated
that any significant change in results of operations from the
corresponding period for the last fiscal year will be reflected by
the earnings statement to be included in the subject report or
portion thereof?
Yes ☐ No
☒
If so, attach an
explanation of the anticipated change, both narratively and
quantitatively, and, if appropriate, state the reasons why a
reasonable estimate of the results cannot be made.
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CAPITAL
FINANCIAL HOLDINGS
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(Name of Registrant
as Specified in Charter)
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has caused this
notification to be signed on its behalf by the undersigned hereunto
duly authorized.
Date: August 14,
2019
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By:
s/ Gordon
Dihle
Gordon Dihle, Chief Executive Officer
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INSTRUCTION: The
form may be signed by an executive officer of the registrant or by
any other duly authorized representative. The name and title of the
person signing the form shall be typed or printed beneath the
signature. If the statement is signed on behalf of the registrant
by an authorized representative (other than an executive officer),
evidence of the representative’s authority to sign on behalf
of the registrant shall be filed with the form.
ATTENTION
Intentional
misstatements or omissions of fact constitute Federal Criminal
Violations (See 18 U.S.C. 1001).
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GENERAL
INSTRUCTIONS
1.
This form is
required by Rule 12b-25 (17 CFR 240.12b-25) of the General Rules
and Regulations under the Securities Exchange Act of
1934.
2.
One signed original
and four conformed copies of this form and amendments thereto must
be completed and filed with the Securities and Exchange Commission,
Washington, D.C. 20549, in accordance with Rule 0-3 of the General
Rules and Regulations under the Act. The information contained in
or filed with the form will be made a matter of public record in
the Commission files.
3.
A manually signed
copy of the form and amendments thereto shall be filed with each
national securities exchange on which any class of securities of
the registrant is registered.
4.
Amendments to the
notifications must also be filed on Form 12b-25 but need not
restate information that has been correctly furnished. The form
shall be clearly identified as an amended
notification.
6.
Interactive data
submissions
:
This
form shall not be used by electronic filers with respect to the
submission or posting of an Interactive Data File (§232.11 of
this chapter). Electronic filers unable to submit or post an
Interactive Data File within the time period prescribed should
comply with either Rule 201 or 202 of Regulation S-T (§232.201
and §232.202 of this chapter).
2
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