Statement of Ownership (sc 13g)
16 Février 2021 - 10:40PM
Edgar (US Regulatory)
UNITED STATES
|
SECURITIES AND EXCHANGE COMMISSION
|
Washington, D.C. 20549
|
|
SCHEDULE 13G*/
|
(Rule 13d-102)
|
|
Capital
Financial Holdings, Inc.
|
(Name of Issuer)
|
|
Common stock, $0.0001 par value per share
|
(Title of Class of Securities)
|
|
140144205
|
(CUSIP Number)
|
|
December
31, 2020
|
Date of Event Which Requires Filing of the Statement
|
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
x
|
Rule 13d-1(b)
|
¨
|
Rule 13d-1(c)
|
¨
|
Rule 13d-1(d)
|
*/
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with
respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures
provided in a prior cover page.
The information required on the remainder
of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of
1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
CUSIP No. 140144205
|
13G
|
Page 2 of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
Citadel Securities LLC
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨
(b) ¨
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
0
|
6.
|
SHARED VOTING POWER
74 shares
|
7.
|
SOLE DISPOSITIVE POWER
0
|
8.
|
SHARED DISPOSITIVE POWER
See Row 6 above.
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above.
|
|
|
10.
|
CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.0%1
|
12.
|
TYPE OF REPORTING PERSON
BD, OO
|
|
1
|
The
percentages reported in this Schedule 13G are based upon 1,241 shares of common stock outstanding as of May 15, 2019 (according
to the issuer’s Form 10-Q filed with the Securities and Exchange Commission on May 16, 2019).
|
CUSIP No. 140144205
|
13G
|
Page 3 of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
CALC IV LP
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨
(b) ¨
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
0
|
6.
|
SHARED VOTING POWER
74 shares
|
7.
|
SOLE DISPOSITIVE POWER
0
|
8.
|
SHARED DISPOSITIVE POWER
See Row 6 above.
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above.
|
|
|
10.
|
CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.0%
|
12.
|
TYPE OF REPORTING PERSON
PN; HC
|
CUSIP No. 140144205
|
13G
|
Page 4 of 10 Pages
|
1.
|
NAME
OF REPORTING PERSON
Citadel
Securities GP LLC
|
2.
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨
(b) ¨
|
3.
|
SEC
USE ONLY
|
4.
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
0
|
6.
|
SHARED VOTING POWER
74 shares
|
7.
|
SOLE DISPOSITIVE POWER
0
|
8.
|
SHARED DISPOSITIVE POWER
See Row 6 above.
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above.
|
|
|
10.
|
CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.0%
|
12.
|
TYPE OF REPORTING PERSON
OO; HC
|
CUSIP No. 140144205
|
13G
|
Page 5 of 10 Pages
|
1.
|
NAME OF REPORTING PERSON
Kenneth Griffin
|
2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) ¨
(b) ¨
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
0
|
6.
|
SHARED VOTING POWER
74 shares
|
7.
|
SOLE DISPOSITIVE POWER
0
|
8.
|
SHARED DISPOSITIVE POWER
See Row 6 above
|
9.
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
See Row 6 above
|
|
|
10.
|
CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (9) EXCLUDES CERTAIN SHARES
|
¨
|
11.
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.0%
|
12.
|
TYPE OF REPORTING PERSON
IN; HC
|
CUSIP No. 140144205
|
13G
|
Page 6 of 10 Pages
|
Capital Financial Holdings, Inc.
|
Item 1(b)
|
Address
of Issuer’s Principal Executive Offices
|
1821 Burdick Expressway W., Minot, North
Dakota 58701
|
Item 2(a)
|
Name of Person Filing
|
This Schedule 13G is being jointly filed by Citadel Securities LLC (“Citadel Securities”), CALC IV LP (“CALC4”),
Citadel Securities GP LLC (“CSGP”) and Mr. Kenneth Griffin (collectively with Citadel Securities, CALC4 and CSGP, the
“Reporting Persons”) with respect to shares of common stock of the above-named issuer owned by Citadel Securities.
CALC4 is the non-member manager of
Citadel Securities. CSGP is the general partner of CALC4. Mr. Griffin owns a controlling interest in CSGP.
The filing of this statement shall
not be construed as an admission that any of the Reporting Persons is the beneficial owner of any securities covered by the statement
other than the securities actually owned by such person (if any).
|
Item 2(b)
|
Address of Principal Business Office
|
The address of the principal business
office of each of the Reporting Persons is 131 S. Dearborn Street, 32nd Floor, Chicago, Illinois 60603.
Each of Citadel Securities and CSGP
is organized as a limited liability company under the laws of the State of Delaware. CALC4 is organized as a limited partnership
under the laws of the State of Delaware. Mr. Griffin is a U.S. citizen.
|
Item 2(d)
|
Title
of Class of Securities
|
Common stock, $0.0001 par value per
share
140144205
CUSIP No. 140144205
|
13G
|
Page 7 of 10 Pages
|
|
Item 3
|
If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the
person filing is a:
|
|
(a)
|
x
|
Broker or dealer registered under Section 15 of the Exchange Act;
|
|
(b)
|
¨
|
Bank as defined in Section 3(a)(6) of the Exchange Act;
|
|
(c)
|
¨
|
Insurance company as defined in Section 3(a)(19) of the Exchange Act;
|
|
(d)
|
¨
|
Investment company registered under Section 8 of the Investment Company Act;
|
|
(e)
|
¨
|
An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
|
|
(f)
|
¨
|
An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
|
|
(g)
|
x
|
A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
|
|
(h)
|
¨
|
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;
|
|
(i)
|
¨
|
A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;
|
|
(j)
|
¨
|
A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
|
|
(k)
|
¨
|
Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
|
If filing as
a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: ____________.
CUSIP No. 140144205
|
13G
|
Page 8 of 10 Pages
|
A. Citadel
Securities LLC, CALC IV LP and Citadel Securities GP LLC
|
(a)
|
Each of Citadel Securities LLC, CALC IV LP and Citadel Securities GP LLC may be deemed to beneficially
own 74 shares of common stock.
|
|
(b)
|
The number of shares that each of Citadel Securities LLC, CALC IV LP and Citadel Securities GP LLC
may be deemed to beneficially own constitutes approximately 6.0% of the common stock outstanding.
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
sole power to vote or to direct the vote: 0
|
|
(ii)
|
shared power to vote or to direct the vote: 74
|
|
(iii)
|
sole power to dispose or to direct the disposition of: 0
|
|
(iv)
|
shared power to dispose or to direct the disposition of: 74
|
B. Kenneth
Griffin
|
(a)
|
Mr. Griffin may be deemed to beneficially own 74 shares of common stock.
|
|
(b)
|
The number of shares that Mr. Griffin may be deemed to beneficially own constitutes approximately
6.0% of the common stock outstanding.
|
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
sole power to vote or to direct the vote: 0
|
|
(ii)
|
shared power to vote or to direct the vote: 74
|
|
(iii)
|
sole power to dispose or to direct the disposition of: 0
|
|
(iv)
|
shared power to dispose or to direct the disposition of: 74
|
CUSIP No. 140144205
|
13G
|
Page
9 of 10
Pages
|
|
Item 5
|
Ownership of Five Percent or Less of a Class
|
If this statement is being filed
to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent
of the class of securities, check the following ¨
|
Item 6
|
Ownership of More than Five Percent on Behalf of Another Person
|
Not Applicable
|
Item 7
|
Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding
Company
|
See Item 2 above
|
Item 8
|
Identification and Classification of Members of the Group
|
Not Applicable
|
Item 9
|
Notice of Dissolution of Group
|
Not Applicable
By signing below I certify that,
to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of
or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held
in connection with or as a participant in any transaction having that purpose or effect.
CUSIP No. 140144205
|
13G
|
Page 10 of 10 Pages
|
After reasonable inquiry
and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true,
complete and correct.
Dated this 16th day of February, 2021.
CITADEL SECURITIES LLC
|
|
CALC IV LP
|
|
|
|
By:
|
/s/ Guy Miller
|
|
By:
|
/s/ Guy Miller
|
|
Guy Miller, Authorized Signatory
|
|
|
Guy Miller, Authorized Signatory
|
|
|
|
CITADEL SECURITIES GP LLC
|
|
KENNETH GRIFFIN
|
|
|
|
By:
|
/s/ Guy Miller
|
|
By:
|
/s/ Gregory Johnson
|
|
Guy Miller, Authorized Signatory
|
|
|
Gregory Johnson, attorney-in-fact*
|
|
*
|
Gregory Johnson is signing on behalf of Kenneth Griffin as attorney-in-fact pursuant to a power of attorney previously filed
with the Securities and Exchange Commission, and hereby incorporated by reference herein. The power of attorney was filed as an
attachment to a filing by Citadel Advisors LLC on Schedule 13G for Jaws Acquisition Corp. on February 1, 2021.
|
Capital Financial (CE) (USOTC:CPFH)
Graphique Historique de l'Action
De Mai 2024 à Juin 2024
Capital Financial (CE) (USOTC:CPFH)
Graphique Historique de l'Action
De Juin 2023 à Juin 2024