U.S. 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 (Date of earliest event reported):
November 15, 2018
CAPITAL FINANCIAL HOLDINGS, INC.
(Exact
name of registrant as specified in its charter)
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North Dakota
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000-25958
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45-0404061
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(State
or other jurisdiction of incorporation)
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(Commission
File Number)
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(IRS
Employer ID No.)
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1821 Burdick Expressway W
Minot, North Dakota 58701
(Address
of principal executive offices/Zip Code)
(701) 837-9600
(Registrant’s
telephone number, including area code)
_________________________________________________
(Former
name or former address, if changed since last report)
Check
the appropriate box below if the Form 8-K filing is intended to
simultaneously satisfy the filing obligations of the registrant
under any of the following provisions:
☐
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 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of
1934 (§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. ☐
ITEM
5.02.
Departure
of Director or Certain Officers; Election of Directors; Appointment
of Directors or Certain Officers; Compensatory Arrangements of
Certain Officers.
On
November 15, 2018, the Board of Directors appointed Charlene Fowler
as Chief Financial Officer and Secretary effective November 15,
2018 to replace Nicole Bertsch who was acting as Interim Chief
Financial Officer and Interim Secretary. The replacement of Ms.
Bertsch with Ms. Fowler is not related to any known disagreement
with the Company on any matters relating to its operations,
policies or practices.
Ms.
Fowler has been employed as the Corporate Accountant for the
Company since March 2018 and was previously the Corporate
Accountant and HR Analyst for the Company from 2010 through 2012.
From 2013 to 2018, Ms. Fowler was employed with unaffiliated
entities as an Accounting Assistant and Compliance Program Analyst.
Ms. Fowler attended Minot State University, Minot, North Dakota,
and Rasmussen College, Bismarck, North Dakota.
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SIGNATURES
Pursuant to the
requirements of Section 12 of the Securities and Exchange Act of
1934, the Registrant has duly caused this report to be signed on
its behalf by the undersigned, thereunto duly
authorized.
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CAPITAL
FINANCIAL HOLDINGS, INC.
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(Registrant)
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Dated: November 15,
2018
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By:
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/s/ Gordon
Dihle
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Gordon
Dihle,
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Chief Executive
Officer and President
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