CAPC · Capstone Companies, Inc. · Insider Trading
Substantial doubt about the company's ability to continue as a going concern.
“These liquidity conditions raise substantial doubt about the Company's ability to continue as a going concern. The Company has funded its corporate overhead and its business development activities through debt financing; however, such funding has not been sufficient to fund the acquisition of, or launch of, a new business operation. Unless the Company succeeds in raising additional capital through debt or equity financing or successfully increases cash generated from operations or established a new business line with revenue flow, management has concluded that there is substantial doubt about the Company's ability to continue as a going concern for a period of one year after the date these financial statements are issued.”View the 10-Q filed Aug 13, 2026
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2025-08-22 | Guzy Jeffrey J |
Director |
Gift↑
Filing footnotes — Series B-1 Convertible Preferred Stock ("B-1 Stock") (Direct)
B-1 Stock converts to 66 shares of common stock for each share of B-1 stock. Conversion is upon demand. No conversion or exercise price If all shares of B-1 Stock are converted by holder, the total number of shares of Common Stock would be 133,320. |
Series B-1 Convertible Preferred Stock ("B-1 Stock")
|
2,000 |
| 2025-08-22 | Wallach Stewart |
Director |
Gift↓
Filing footnotes — Series B-1 Convertible Preferred Stock ("B-1 Stock") (Direct)
B-1 Stock converts to 66 shares of common stock for each share of B-1 stock. No conversion or exercise price. Conversion is upon demand. B-1 stock is gifted to 3 persons, 2000 shares per person. If all shares of B-1 Stock are converted by all of the grantees/holders, the total number of shares of Common Stock would be 399,960. |
Series B-1 Convertible Preferred Stock ("B-1 Stock")
|
6,000 |
| 2025-08-22 | Perez Dana Eschenburg |
Insider |
Award↑
Filing footnotes — Series B-1 Convertible Preferred Stock ("B-1 Stock") (Direct)
B-1 Stock converts to 66.66 shares of common stock for each share of B-1 stock. If all shares of B-1 Stock are converted by holder, the total number of shares of Common Stock would be 133,320. |
Series B-1 Convertible Preferred Stock ("B-1 Stock")
|
2,000 |
| 2024-12-20 | POSTAL JEFFREY |
10% Owner |
Buy↑
Filing footnotes — Series B-1 Conv. Preferred Stock (Direct)
Series B-1 Conv. Preferred Stock (B-1 Stock) issued to cancel $887,763 debt owed to Mr. Postal. B-1 Stock converts to Common Stock at 1 for 66.66. Based on bid of Common Stock on 12-20-24, Price of B-1 stock is $0.6666 per share. |
Series B-1 Conv. Preferred Stock
|
181,674 |
| 2024-12-20 | Wallach Stewart |
Director |
Buy↑
Filing footnotes — Series B-1 Convertible Preferred Stock (Direct)
Series B-1 Conv. Preferred Stock (B-1 Stock) issued to cancel $1,392,570 debt owed Stewart Wallach and $657,887 owed to Group Nexus LLC, a LLC controlled by Mr. Wallach. Conversion price based on bid of common stock on issuance date x 66.66. Each share of B-1 Stock converts to 66.66 shares of Common Stock. 134,631 shares of B-1 Stock reported above was issued to Group Nexus LLC. Expiration Date is blank because the derivative security does not have a stated expiration date or trigger event date for exercise. |
Series B-1 Convertible Preferred Stock
|
419,609 |
| 2024-12-18 | Wolf George W |
Director |
Award↑
Filing footnotes — Series B-1 Conv Preferred Stock (Direct)
Series B-1 Convertible Preferred Stock issued for cancellation of $336,875 owed to Reporting Person By Capstone Cos., Inc. There is no expiration date for exercise of these securities. |
Series B-1 Conv Preferred Stock
|
68,939 |
| 2024-10-11 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
10,000 |
| 2024-10-11 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
27,000 |
| 2024-10-11 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
2,000 |
| 2024-09-23 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
10,500 |
| 2024-09-20 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
5,000 |
| 2024-09-20 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
5,000 |
| 2024-09-19 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
7,500 |
| 2024-09-18 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
5,000 |
| 2024-09-12 | Wallach Stewart |
Director |
Buy↑
|
Common Stock
|
1,000 |
| 2021-12-16 | Guzy Jeffrey J |
Director |
Gift↓
Filing footnotes — Common Stock (Direct)
Testamentary gift |
Common Stock
|
33,333 |
| 2021-12-16 | Guzy Jeffrey J |
Director |
Gift↓
Filing footnotes — Common Stock (Direct)
Testamentary gift |
Common Stock
|
33,333 |
| 2021-12-16 | Guzy Jeffrey J |
Director |
Gift↓
Filing footnotes — Common Stock (Direct)
Testamentary gift |
Common Stock
|
33,334 |
| 2021-07-15 | Guzy Jeffrey J |
Director |
Convert↑
Filing footnotes — Common Stock (Direct)
Exercise of Stock Option |
Common Stock
|
100,000 |
| 2021-07-15 | Guzy Jeffrey J |
Director |
Convert↑
Filing footnotes — Common Stock Option Non Qualified (Direct)
Shares Fully Vested Amendment filed to correct total |
Common Stock Option Non Qualified
|
100,000 |
| 2021-01-04 | Wallach Stewart |
Director |
Other↑
Filing footnotes — Series B-1 Convertible Preferred Stock, $0.0001 par value (Direct)
Issuance of shares in connection with credit line. Shares issued for working capital loan. Each share of Series B-1 Convertible Preferred Stock converts to 66.66 shares of Common Stock at option of holder. |
Series B-1 Convertible Preferred Stock, $0.0001 par value
|
7,500 |
| 2021-01-04 | POSTAL JEFFREY |
10% Owner |
Other↑
Filing footnotes — Series B-1 Convertible Preferred Stock, $0.0001 Par Value (Direct)
Issuance of shares in connection with credit line. Series B-1 Convertible Preferred Stock issued for working capital loan. Each share of Series B-1 Convertible Preferred Stock converts to 66.66 shares of Common Stock at option of holder. |
Series B-1 Convertible Preferred Stock, $0.0001 Par Value
|
7,500 |
| 2020-08-05 | Gaudet Aimee C |
Corporate Secretary |
Award↑
Filing footnotes — Option (Direct)
NA |
Option
|
10,000 |
| 2020-08-05 | Guzy Jeffrey J |
Director |
Award↑
Filing footnotes — Option (Direct)
NA |
Option
|
100,000 |
| 2020-08-05 | POSTAL JEFFREY |
10% Owner |
Award↑
Filing footnotes — Option (Direct)
NA |
Option
|
100,000 |