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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: March 21, 2022

(Earliest Event Date requiring this Report: March 21, 2022)

 

CAPSTONE COMPANIES, INC.

(EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER)

 

Florida 0-28331 84-1047159
(State of Incorporation or Organization) (Commission File Number) I.R.S. Employer Identification No.)

  

431 Fairway Drive, Suite 200

Deerfield Beach, Florida 33441

(Address of principal executive offices)

(954) 570-8889, ext. 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 Instructions A.2. below): 

 

☐ 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)) 

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §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. ☐

Securities registered pursuant to Section 12(b) of the Act: None

 

Title of Class of Securities. Trading Symbol(s). Name of exchange on which registered
N/A N/A N/A

 

The Registrant’s Common Stock is quoted on the OTCQB Venture Market of the OTC Markets Group, Inc. under the trading symbol “CAPC.”

 

 

 

 

Item 2.02. Results of Operations and Financial Condition.

 

Item 7.01. Regulation FD Disclosure.

 

On March 21, 2022, Capstone Companies, Inc., a Florida corporation, (the “Company”), issued a press release announcing an upcoming webcast and conference call to discuss the operating and financial results for the fiscal year ended December 31, 2021. The Company anticipates filing its Form 10-K Annual Report for the fiscal year end of December 31, 2021, with the Commission on March 31, 2022.

 

The investor conference call will be held on Friday, April 1, 2022, at 10:30 a.m., Eastern Standard Time (“EST”). The telephone number for the webcast/conference call is (201) 689-8562.

 

A copy of the March 21, 2021, press release is attached as Exhibit 99.1 to this Current Report on Form 8-K. A transcript of the April 1, 2021, webcast and conference call together with any such materials referenced during the webcast and conference call shall be filed as Exhibit 99.2 to an Amendment Number One to this Current Report on Form 8-K. The disclosures in Item 7.01/Item 2.02 above and Exhibit 99.1 to his Current Report on Form 8-K shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or incorporated by reference in any filing by the Company under the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such a filing.

 

Item 9.01. Financial Statements and Exhibits.

 

EXHIBIT NUMBER  EXHIBIT DESCRIPTION
99.1

March 21, 2022, Press Release by Capstone Companies, Inc.
re: financial and operating results for fiscal year ending December 31, 2021

 

 

 

 

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

By: /s/ Stewart Wallach

Stewart Wallach, Chief Executive Officer

Dated: March 21, 2022

 

 

 

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