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 |
Billionaire Hedge Funds
