UNITED STATES
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): March 21, 2012
(Exact name of registrant as specified in its charter)
Commission File Number: 000-18188
| Oregon | 93-0589534 |
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer Identification No.) |
| 811 S.W. Naito Parkway, Portland, Oregon | 97204 |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: 503-243-6000 |
| |
Former name or former address if changed since last report: no change |
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:
| □ | 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)) |
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
On March 21, 2012, Paulson Capital Corp. issued a press release announcing it has been notified by The Nasdaq Stock Market that it has regained compliance with Listing Rule 5550(a)(2), as for the last 10 consecutive business days, from March 7, 2012 to March 20, 2012, the closing bid price of the Company’s common stock has been at $1.00 per share or greater.
A copy of the press release is filed as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits
The following exhibit is attached hereto and this list is intended to constitute the exhibit index:
| | 99.1 | Paulson Capital Corp. Regains Compliance with Nasdaq Listing Rule 5550(a)(2), dated March 21, 2012. |
SIGNATURE
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.
| Date: March 21, 2012 | PAULSON CAPITAL CORP. | |
| | | | |
| | By: /s/ Chester L. F. Paulson | |
| | Chester L. F. Paulson | |
| | President and Chief Executive Officer | |
| | (Principal Executive Officer) | |
