SEC Info - Case Financial Inc, et al. - ‘SC 13D’ on 8/23/06 re: Case Financial Inc

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Case Financial Inc, et al. – ‘SC 13D’ on 8/23/06 re: Case Financial Inc

On: Wednesday, 8/23/06, at 12:17pm ET · Accession #: 1144204-6-35414 · File #: 5-59217

  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 8/23/06  Case Financial Inc                SC 13D                 1:12K  Case Financial Inc                Vintage/FA
          Sam D. Schwartz

General Statement of Beneficial Ownership — Schedule 13D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13D      General Statement of Beneficial Ownership              8     22K

Document Table of Contents

Page	(sequential)	\|	(alphabetic)	Top
			Alternative Formats (Word, et al.) Certification: Identification and Classification of Members of the Group Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company If this statement is filed pursuant to sections 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: Notice of Dissolution of Group Ownership Ownership of Five Percent or Less of a Class Ownership of More than Five Percent on Behalf of Another Person
1	1st Page - Filing Submission
4	Item 3. If this statement is filed pursuant to sections 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a:
"	Item 4. Ownership
5	Item 5. Ownership of Five Percent or Less of a Class
"	Item 6. Ownership of More than Five Percent on Behalf of Another Person
"	Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
"	Item 8. Identification and Classification of Members of the Group
"	Item 9. Notice of Dissolution of Group
"	Item 10. Certification:

SC 13D 1st Page of 8 TOC ↑Top Previous Next ↓Bottom Just 1st
 
 UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

 Under the Securities Exchange Act of 1934
 (Amendments No.__)*

 CASE FINANCIAL,INC.
--------------------------------------------------------------------------------
(Name of Issuer)

 Common Stock, par value $0.01 per share
--------------------------------------------------------------------------------
 (Title of Class Securities)

14745-10-4
------------------------------------
(CUSIP Number)

 August 23, 2006
--------------------------------------------------------------------------------
 (Date of Event Which Requires Filing of this 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 the       
disclosure provided in a prior cover page.                                      

The information required in 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).                                                                         

Potential persons who are to respond to the collection of information contained 
in this form are not required to respond unless the form displays a current     
valid OMB control number.                                                       

Page 1

SC 13D 2nd Page of 8 TOC 1st Previous Next ↓Bottom Just 2nd
CUSIP No.  14745C-10-4                                                          

1. Name of Reporting Persons.                                             
I.R.S. Identification Nos. of above persons (entities only).        

Case Financial,Inc.                                                 
33-0529299                                                          
--------------------------------------------------------------------------------

2. Check the Appropriate Box if a Member of a Group (See Instructions)    

(a)  [   ]                                                          
                ----------------------------------------------------------------

(b)                                                                 
           ---------------------------------------------------------------------
--------------------------------------------------------------------------------

3. SEC Use Only                                                           
                  --------------------------------------------------------------
--------------------------------------------------------------------------------

4.Citizenship or Place of Organization United States                      

--------------------------------------------------------------------------------

Number of Shares    5.  Sole Voting Power        3,717,300                      
Beneficially Owned  6.  Shared Voting Power                                     
by Each Reporting   7.  Sole Dispositive Power   3,717,300                      
Person With:        8.  Shared Dispositive Power                                

--------------------------------------------------------------------------------

9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,717,300 

--------------------------------------------------------------------------------

10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See 
Instructions)                                                             

--------------------------------------------------------------------------------

11. Percent of Class Represented by Amount in Row (9)     10.8%           

--------------------------------------------------------------------------------

12. Type of Reporting Person (See Instructions)              IN           

--------------------------------------------------------------------------------

Page 2

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CUSIP No.  14745C-10-4                                                          

1. Name of Reporting Persons.                                             
I.R.S. Identification Nos. of above persons (entities only).        

Sam D. Schwartz                                                     
--------------------------------------------------------------------------------

2. Check the Appropriate Box if a Member of a Group (See Instructions)    

(a)  [   ]                                                          
                ----------------------------------------------------------------

(b)                                                                 
           ---------------------------------------------------------------------
--------------------------------------------------------------------------------

3. SEC Use Only                                                           
--------------------------------------------------------------------------------

4. Citizenship or Place of Organization United States.                    
--------------------------------------------------------------------------------

Number of Shares       5.  Sole Voting Power                                    
Beneficially Owned by  6.  Shared Voting Power      3,717,300                   
Each Reporting Person  7.  Sole Dispositive Power   3,717,300                   
With:                  8.  Shared Dispositive Power                             

--------------------------------------------------------------------------------

9. Aggregate Amount Beneficially Owned by Each Reporting Person           

--------------------------------------------------------------------------------

10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See 
Instructions)                                                             

--------------------------------------------------------------------------------

11.Percent of Class Represented by Amount in Row (9)      10.8%           

--------------------------------------------------------------------------------

12.Type of Reporting Person (See Instructions)             IN             
--------------------------------------------------------------------------------

Page 3

SC 13D 4th Page of 8 TOC 1st Previous Next ↓Bottom Just 4th
Item 1.                                                                         

(a) Name of Issuer                                                    

Case Financial,Inc.                                           

(b) Address of Issuer's Principal Executive Offices                   

5950 La Place Ct.                                             
Carlsbad, California 92008                                    

Item 2.                                                                         

(a) Name of Person Filing                                             

This statement is being filed by                              
(i. Sam D. Schwartz the "Reporting Persons").                 

 (b) Address of Principal Business office or, if None, Residence

   I principal residence: 16032 Valley Meadow Place Encino,CA. 91436

(c) Citizenship                                                       

Item 4 of each cover page is incorporated by reference.       

(d) Title of Class Securities                                         

Common Stock, par value $0.01 per share                       

(e) CUSIP Number                                                      

148865-20-7                                                   

Item 3.  If this statement is filed pursuant to sections 240.13d-1(b), or       
240.13d-2(b) or (c), check whether the person filing is a:    

    (a)  Broker or dealer registered under section 15 of the Act (15
U.S.C. 78o).                                      

       (b)  Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

        (c)  Insurance company as defined in section 3(a)(19) of the Act (15
U.S.C. 78c).                                      

        (d)  Investment company registered under section 8 of the Investment
Company Act (15 U.S.C. 80a-8).                    

(e)  An investment adviser in accordance with section       
240.13d-1(b)(1)(ii)(E).                           

      (f)  An employee benefit plan or endowment fund in accordance with
section 240.13d-1(b)(ii)(F).                      

      (g)  A parent holding company or control person in accordance with
section 240.13d-1(b)(1)(ii)(G).                   

        (h)  A savings association as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813).           

 (i)  A church plan that is excluded from the definition of an
         investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3).            

(j)  Group in accordance with section 240.13d-1(b)(ii)(J).  

Item 4.  Ownership                                                              

Common Stock:                                                 

(a) Amount Beneficially Owned: 3,717,300                      
            (i) includes convertible note $287,000 principal convertible
      into common shares @$0.15 or 1,913,300 shares.

(b) Percent of Class: 10.8%                                   

(c) Number of shares as to which the joint filers have:       

(i) sole power to vote or to direct the vote:3,717,300  

Page 4

SC 13D 5th Page of 8 TOC 1st Previous Next ↓Bottom Just 5th
(ii) shared power to vote or to direct the vote:        

(iii) sole power to dispose or to direct the disposition
of:3,717,300                                                                    

         (iv) shared power to dispose of or to direct the disposition of:.

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 five percent of the class securities, check the following .

Item 6.  Ownership of More than Five Percent on Behalf of Another Person.       

        IA, a registered investment adviser, and Managing Member, the majority
        owner and managing member of IA, have the right or the power to direct
       the receipt of dividends from Common Stock, and to direct the receipt
       of proceeds from the sale of Common Stock to IA's investment advisory
clients.                                                      

Not applicable                                                

Item 7.  Identification  and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company.     

Not applicable                                                

Item 8.  Identification and Classification of Members of the Group.             

Not applicable                                                

Item 9.  Notice of Dissolution of Group.                                        

Not applicable                                                

Item 10. Certification:                                                         

        (a)  The following certification shall be included if the statement is
filed pursuant to section 240.13d-1(b):             

            By signing below I certify that, to the best of my knowledge and
          belief, the securities referred to above were acquired and are
            held I the ordinary course of business and 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.

Page 5

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 SIGNATURE

Date:  August 23, 2006                                                          

     /s/ Sam D. Schwartz
                                ----------------------------------------------
 Sam D. Schwartz

Page 6

SC 13D 7th Page of 8 TOC 1st Previous Next ↓Bottom Just 7th
 EXHIBIT A

 Identification and Classification of Members of the Group

Pursuant to Rule 13d-1(b)(ii)(J) and Rule 13d-1(k)(1) under the Securities and  
Exchange Act of 1934, the members of the group making this joint filing are     
identified and classified as follows:                                           

Name                             Classification 

Page 7

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 EXHIBIT B

 Joint Filing Agreement Pursuant to Rule 13d-1

This agreement is made pursuant to Rule 13d-1(b)(ii)(J) and Rule 13d-1(k)(1)    
under the Securities and Exchange Act of 1934 (the "Act") by and among the      
parties listed below, each referred to herein as a "Joint Filer." The Joint     
Filers agree that a statement of beneficial ownership as required by Sections   
13(g) or 13(d) of the Act and the Rules there under may be filed on each of     
their behalf on Schedule 13G or Schedule 13D, as appropriate, and that said     
joint filing may thereafter be amended by further joint filings. The Joint      
Filers state that they each satisfy the requirements for making a joint filing  
under Rule 13d-1.                                                               

 SIGNATURE

Date: August 23, 2006                                                           

/s/ Sam D. Schwartz 
                            ------------------------------------------------

Page 8

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Dates Referenced Herein and Documents Incorporated by Reference

		Referenced-On Page
This ‘SC 13D’ Filing	Date	First	Last	Other Filings

Filed on:	8/23/06	1	8	3
				List all Filings

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Filing Submission 0001144204-06-035414 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Case Financial Inc, et al. – ‘SC 13D’ on 8/23/06 re: Case Financial Inc

On: Wednesday, 8/23/06, at 12:17pm ET · Accession #: 1144204-6-35414 · File #: 5-59217

General Statement of Beneficial Ownership — Schedule 13DFiling Table of Contents

Document Table of Contents

Dates Referenced Herein and Documents Incorporated by Reference

General Statement of Beneficial Ownership — Schedule 13D
Filing Table of Contents