CAPS · Capstone Holding Corp.
The latest filing states the doubt was alleviated.
“These conditions, together with the Company’s accumulated deficit and near-term debt maturities, initially indicated that substantial doubt existed about the Company’s ability to meet its obligations and to continue as a going concern within one year after the date these condensed consolidated financial statements are issued. Management has concluded that the following plans and resources, in the aggregate, alleviate that doubt: ... Based on this evaluation, management has concluded that these plans alleviate the substantial doubt about the Company’s ability to continue as a going concern.”View the 10-Q filed Aug 12, 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 |
|---|---|---|---|---|---|
| 2026-08-07 | HOLLIMAN JOHN M III |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 305,248 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
305,248 |
| 2026-08-07 | HOWSE ELWOOD D |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
105,124 |
| 2026-08-07 | Grotke Kevin Allan |
President & CEO of TotalStone |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 515,495 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full on August 7, 2029, the third anniversary of the grant date, subject to the Reporting Person's continued service. |
Common Stock
|
515,495 |
| 2026-08-07 | SCHULTZ EDWARD CHRISTOPHER |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 310,310 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full on August 7, 2029, the third anniversary of the grant date, subject to the Reporting Person's continued service. |
Common Stock
|
310,310 |
| 2026-08-07 | Lipman Matthew E. |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 1,094,648 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full on August 7, 2029, the third anniversary of the grant date, subject to the Reporting Person's continued service. |
Common Stock
|
1,094,648 |
| 2026-08-07 | TOPOREK MICHAEL |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 1,094,647 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
1,094,647 |
| 2026-08-07 | FELDMAN FREDRIC J |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
105,124 |
| 2026-08-07 | Strout Gordon Lewis Jr |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 142,500 and 357,810 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
357,810 |
| 2026-03-30 | SCHULTZ EDWARD CHRISTOPHER |
Chief Financial Officer |
Award↑
Filing footnotes — Common Stock (Direct)
This Form 4/A is being filed solely to correct the nature of the shares reported as granted on April 1, 2026. This amendment reflects that the shares granted were shares of common stock, rather than restricted stock units. Including 190,000 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. |
Common Stock
|
190,000 |
| 2026-03-30 | Strout Gordon Lewis Jr |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 142,500 and 357,810 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
142,500 |
| 2026-03-30 | Lipman Matthew E. |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
This Form 4/A is being filed solely to correct the nature of the shares reported as granted on April 1, 2026. This amendment reflects that the shares granted were shares of common stock, rather than restricted stock units. Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. Excludes 121,774 shares controlled by the Reporting Person, through his control of BP Peptides, LLC. |
Common Stock
|
356,250 |
| 2026-03-30 | FELDMAN FREDRIC J |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
95,000 |
| 2026-03-30 | HOLLIMAN JOHN M III |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 305,248 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
95,000 |
| 2026-03-30 | TOPOREK MICHAEL |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
This Form 4/A is being filed solely to correct the nature of the shares and the vesting schedule reported as granted on April 1, 2026. This amendment reflects that the shares granted were shares of common stock, rather than restricted stock units, and corrects the vesting schedule of the shares granted. Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards will vest in full only upon the Reporting Person's death or disability, removal from the Board of Directors other than for Cause, or failure to be re-elected to the Board of Directors. If the Reporting Person voluntarily resigns from the Board of Directors before the applicable vesting event, the restricted stock awards will be forfeited. Excludes 121,774 shares controlled by the Reporting Person, through his control of BP Peptides, LLC. |
Common Stock
|
356,250 |
| 2026-03-30 | HOWSE ELWOOD D |
Director |
Award↑
Filing footnotes — Common Stock (Direct)
THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. |
Common Stock
|
95,000 |
| 2025-03-07 | Strout Gordon Lewis Jr |
Director |
Buy↑
|
Common Stock
|
41,500 |
| 2025-03-07 | Strout Gordon Lewis Jr |
Director |
Other↑
Filing footnotes — Common Stock (Indirect)
On March 7, 2025, pursuant to a Master Exchange Agreement entered into among the Issuer, its operating subsidiary, TotalStone, LLC ("TotalStone"), and TotalStone's Class B and Class C Members, all of the Preferred Interests in TotalStone previously owned by the Reporting Person were exchanged for 822,128 shares of the Issuer's Common Stock. |
Common Stock
(I)
|
822,128 |
| 2025-03-07 | Lipman Matthew E. |
Director |
Buy↑
|
Common Stock
|
41,750 |
| 2025-03-07 | TOPOREK MICHAEL |
Director |
Buy↑
|
Common Stock
|
41,750 |