Filing Details

Accession Number:
0001354488-14-000242
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-01-16 13:53:35
Reporting Period:
2013-12-31
Filing Date:
2014-01-16
Accepted Time:
2014-01-16 13:53:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
944696 Capital Financial Holdings Inc CPFH Security Brokers, Dealers & Flotation Companies (6211) 450404061
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1551100 Richard John Carlson 815 25Th Ave Nw
Minot ND 58703
Chief Executive Officer Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Capital Financial Holdings, Inc.-Cpfh Common Stock Acquisiton 2014-01-14 3 $895.00 16 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Capital Financial Holdings, Inc.-Cpfh Common Stock 6 Indirect Spouse
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Capital Financial Holdings, Inc. - Cpfh Common Stock Option - CPFH common $10,000.00 2004-12-17 2014-10-31 2 1 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2014-10-31 2 1 Direct