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): February 13, 2013
PAULSON CAPITAL CORP.
(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 |
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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 8.01 Other Events.
On February 13, 2013, the Company issued a news release announcing that it has entered into an agreement in principle pursuant to which there will be a change in ownership of the broker-dealer license held by its wholly owned subsidiary, Paulson Investment Company, Inc. A copy of this news release is attached hereto as Exhibit 99.1 and is hereby incorporated by reference.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
The following exhibit is filed herewith:
| | 99.1 | Paulson Investment Company Inc. press release dated February 13, 2013. |
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.
| | PAULSON CAPITAL CORP. | |
| | | | |
| Date: February 13, 2013 | By: | /s/ Chester L. F. Paulson | |
| | | Chester L. F. Paulson President and Chief Executive Officer | |
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EXHIBIT INDEX
| | | |
Exhibit No.
Under Regulation S-K,
Item 9.01 | | Description |
| | |
99.1 | | Paulson Investment Company Inc. press release dated February 13, 2013 |
