OTCQB Certification
I, James G. McClinton, [Chief Executive Officer] of [Capstone Companies, Inc.] (“the Company”), certify that:
a. The Company is registered or required to file periodic reporting with the SEC or is exempt from SEC registration as indicated below (mark the box below that applies with an “X”):
[ X ] Company is registered under Section 12(g) of the Exchange Act
[ ] Company is relying on Exchange Act Rule 12g3-2(b)
[ ] Company is a bank that reports to a Bank Regulator under Section 12(i) of the Exchange Act
[ ] Company is a bank that is non-SEC reporting but is current in its reporting to a Banking Regulator [ ] Company is reporting under Section 15(d) of the Exchange Act.
[ ] Other (describe)
b. The Company is current in its reporting obligations as of the most recent fiscal year end and any subsequent quarters, and such information has been posted either on the SEC’s EDGAR system or the OTC Disclosure & News Service, as applicable.
c. The Company Profile displayed on www.otcmarkets.com is current and complete as of August 23, 2016 and includes the total shares outstanding, authorized, and in the public float as of that date.
d. The following is a complete list of attorney(s) and law firm(s) who advised or assisted in the preparation of the Company’s most recent annual report, including in-house counsel: (If no attorney assisted in putting together the disclosure, indicate the person or persons who prepared the disclosure and their relationship to the company.)
PW Richter, PLC. Attention: Paul Richter, Richmond, VA
e. The following is a complete list of third party providers, including names and addresses, engaged by the Company, its officers, directors or controlling shareholders, during the period from the Company’s prior fiscal year end to the date of this OTCQB Certification, to provide investor relations services, public relations services, or other related services to the Company including promotion of the Company or its securities:
Kei Advisors, LLC, Buffalo, New York
f. Listed below are the names, legal addresses and % of shares owned by all Officers, Directors and Control Persons (control persons are beneficial owners of more than five percent (5%) of any class of the issuer’s equity securities). If any of the beneficial shareholders are corporate shareholders, the name and address of the person(s) owning or controlling such corporate shareholders and the resident agents of the corporate shareholders must also be included.
Name
Address (City and State only)
% Shares Owned
Stewart Wallach
Delray Beach, FL
20.4%
Jeffrey Postal
Fort Lauderdale, FL
17.8%
Jeffrey Guzy
Arlington, VA
0.1%
Larry Sloven
Deerfield Beach, FL
0.1%
James G. McClinton
Davie, FL
0.1%
OTC Markets Group Inc. April 28, 2016
Date: 07/15/2016
Name of Certifying CEO or CFO: CFO
Title: Chief Executive Officer
Signature: /s/James G. McClinton
(Digital Signatures should appear as “/s/ [OFFICER NAME]”)
