[Form 4] Capstone Holding Corp. Insider Trading Activity

Filing Impact

(High)

Filing Sentiment

(Neutral)

Form Type

Rhea-AI Filing Summary

SCHULTZ EDWARD CHRISTOPHER reported acquisition or exercise transactions in this Form 4 filing.

Capstone Holding Corp. reported that Chief Financial Officer Edward Christopher Schultz received a grant of restricted stock units covering 190,000 shares of common stock. The award was granted on March 30, 2026 at a reference value of $0.649 per share and represents equity-based compensation rather than an open-market purchase.

The RSUs will vest in full on March 30, 2029, the third anniversary of the grant date, provided Schultz continues to serve with the company through that vesting date. Following this grant, he is reported as directly holding 190,000 shares underlying this restricted stock award.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider SCHULTZ EDWARD CHRISTOPHER

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Restricted Stock Award	190,000	$0.649	$123K

Holdings After Transaction: Restricted Stock Award — 190,000 shares (Direct)

Footnotes (1)

[object Object]

Key Figures

RSUs granted: 190,000 shares Grant reference price: $0.649 per share Shares following transaction: 190,000 shares +2 more

5 metrics

RSUs granted 190,000 shares Restricted Stock Award granted March 30, 2026

Grant reference price $0.649 per share Transaction price per share for RSU award

Shares following transaction 190,000 shares Total direct holdings reported after RSU grant

RSU vesting date March 30, 2029 RSUs vest in full on third anniversary of grant

Grant date March 30, 2026 Restricted stock award grant date referenced in footnote

Key Terms

Restricted Stock Award, RSUs, transaction code "A", vest in full, +1 more

5 terms

Restricted Stock Award financial

"security_title: "Restricted Stock Award""

A restricted stock award is company shares given to an employee or executive that cannot be sold or fully owned until certain conditions—like staying with the company for a set time or hitting performance targets—are met. Think of it as a gift that only becomes yours after you fulfill specific obligations; for investors, these awards matter because they can increase the total shares outstanding when they vest, reveal how management is being paid and motivated, and create potential selling pressure when restrictions lift.

RSUs financial

"The RSUs vest in full on March 30, 2029"

RSUs, or restricted stock units, are a form of company shares given to employees as part of their compensation. They are typically awarded with certain restrictions, such as a waiting period before they can be fully owned or sold, similar to earning a gift that becomes fully yours over time. For investors, RSUs can impact a company's stock offerings and reflect how much the company relies on stock-based incentives to attract and retain talent.

transaction code "A" financial

"transaction_code_description: "Grant, award, or other acquisition""

vest in full financial

"The RSUs vest in full on March 30, 2029"

continued service financial

"subject to the Reporting Person's continued service through such vesting date"

Form 4 Insider Transactions: What Each Field Means →

04/01/2026 - 06:42 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

SCHULTZ EDWARD CHRISTOPHER

(Last)

(First)

(Middle)

5141 W. 122ND STREET

(Street)

ALSIP

ILLINOIS

60803

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Capstone Holding Corp. [ CAPS ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Financial Officer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
03/30/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Restricted Stock Award⁽¹⁾	$0	03/30/2026		A		190,000		⁽¹⁾	⁽¹⁾	Common Stock	190,000	$0.649	190,000	D

Explanation of Responses:

1. The RSUs 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.

	/s/ Edward Schultz	04/01/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What insider transaction did Capstone Holding Corp. (CAPS) disclose for its CFO?

Capstone Holding Corp. disclosed that CFO Edward Christopher Schultz received a grant of 190,000 restricted stock units. The award is structured as equity compensation and not an open-market stock purchase or sale, aligning his interests with long-term company performance through future share vesting.

How many Capstone Holding Corp. (CAPS) shares are covered by the CFO’s restricted stock award?

The restricted stock award to Capstone Holding Corp.’s CFO covers 190,000 shares of common stock. These shares are subject to vesting conditions and do not fully belong to him until the vesting date, linking compensation to continued service and long-term shareholder value.

When do the CFO’s RSUs at Capstone Holding Corp. (CAPS) vest?

The CFO’s RSUs at Capstone Holding Corp. vest in full on March 30, 2029. This date is the third anniversary of the March 30, 2026 grant, and vesting requires his continued service with the company through that future vesting date as disclosed.

Was the Capstone Holding Corp. (CAPS) CFO transaction a stock purchase or sale?

The transaction for Capstone Holding Corp.’s CFO was a grant of restricted stock units, not a market purchase or sale. It is classified as a grant or award acquisition, representing compensation rather than trading activity, and is reported under transaction code “A” in the filing.

What ownership position does the Capstone Holding Corp. (CAPS) CFO report after the RSU grant?

After the RSU grant, the Capstone Holding Corp. CFO reports direct ownership of 190,000 shares underlying the restricted stock award. This position reflects the award’s full size, though the shares remain subject to vesting conditions until March 30, 2029, when they are scheduled to vest.