Current Report Filing (8-k)
November 21 2022 - 10:31AM
Edgar (US Regulatory)
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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: November 21, 2022
(Earliest Event Date requiring this Report:
November 16, 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
5.02 Departure of Directors or Certain Officers; Election of
Directors; Appointment of Certain Officers; Compensatory
Arrangements of Certain Officers
James
McClinton submitted his resignation as a Director, Chief Financial
Officer and Chief Operating Officer of Capstone Companies, Inc.
(“Company”) and as a director and Chief Financial Officer of
Capstone Industries, Inc., a wholly-owned subsidiary of the
Company, which resignation is effective as of November 30, 2022.
Mr. McClinton’s notice of intent to resign was received by the
Company on November 16, 2022. His resignation is due to personal
health reasons. Mr. McClinton has no disagreement with the Company
on any matter relating to its operations, policies or
practices.
Company
is in the process of engaging personnel to handle the duties of
chief financial officer while searching for a permanent new Chief
Financial Officer. The Company intends to operate with a four
remaining directors for the foreseeable future.
Attached
as Exhibit 99.1 is Mr. Clinton’s resignation letter.
Item
9.01. Financial Statements and Exhibits.
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: November 21, 2022
EXHIBIT INDEX
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From Feb 2023 to Mar 2023
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