SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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) August 28, 2007
BROOKE CAPITAL CORPORATION
(Exact Name of Registrant as Specified in Its Charter)
Kansas
(State or Other Jurisdiction of Incorporation)
| 0-25679 | 48-118574 | |
| (Commission File Number) | (I.R.S. Employer Identification No.) |
10950 Grandview, Suite 600
Overland Park, Kansas 66210
(Address of Principal Executive Offices) (Zip Code)
(913) 661-0123
(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 Instruction 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 240.14e-r(c)) |
Item 8.01. Other Events
On August 28, 2007, Brooke Capital Corporation (AMEX: BCP) issued a press release announcing that had received approval for listing of its common stock on the American Stock Exchange under the symbol “BCP”. Trading commenced at the open of the market on Thursday, Aug. 30, 2007. A copy of the press release is furnished as Exhibit 99.1 to this Form 8-K.
The press release contains forward-looking statements. All forward-looking statements involve risks and uncertainties, and several factors could cause actual results to differ materially from those in the forward-looking statements. The following factors, among others, could cause actual results to differ from those indicated in the forward-looking statements: the uncertainty that Brooke Capital Corporation will achieve short-term and long-term profitability and growth goals, uncertainties associated with market acceptance of and demand for the products and services of Brooke Capital Corporation, the impact of competitive products and pricing, the dependence by the parties to the transaction on third-party suppliers and their pricing, the ability of the parties to the transaction to meet product demand, the availability of capital and funding sources, the exposure to market risks, uncertainties associated with the development of technology, changes in the law and in economic, political and regulatory environments, changes in management, the dependence on intellectual property rights, the effectiveness of internal controls, and risks and factors described from time to time in reports and registration statements filed by Brooke Capital Corporation with the Securities and Exchange Commission. More complete description of the business of Brooke Capital Corporation is provided in its most recent annual, quarterly and current reports, which are available from Brooke Capital Corporation without charge or at www.sec.gov.
Item 9.01 Financial Statements and Exhibits
(a) Exhibits
Exhibit 99.1. Press Release dated August 28, 2007 announcing AMEX listing.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Brooke Capital Corporation | ||||
| (Registrant) | ||||
| Date September 4, 2007 | By | /s/ Robert D. Orr | ||
| (Signature) | ||||
| Robert D. Orr, Chairman | ||||
| of the Board of Directors, President and | ||||
| Chief Executive Officer | ||||