Capstone Holding Corp. (CAPS) officer lists 526,102-share stake and 285,000 RSAs

Rhea-AI Filing Summary

Capstone Holding Corp. officer Kevin Allan Grotke reported beneficial ownership of 526,102 shares of common stock held directly. This amount includes 285,000 shares granted to him on March 30, 2026 as restricted stock awards for no consideration, vesting in full on March 30, 2029, subject to his continued service.

Insider Trade Summary

1 transaction reported

Mixed 1 txn

Insider Grotke Kevin Allan

Role President & CEO of TotalStone

Type	Security	Shares	Price	Value
holding	Common Stock F1	--	--	--

Holdings After Transaction: Common Stock — 526,102 shares (Direct)

Footnotes (1)

1. F1. Including 285,000 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.

Key Figures

Shares beneficially owned: 526,102 shares Restricted stock awards granted: 285,000 shares Grant date: March 30, 2026 +1 more

4 metrics

Shares beneficially owned 526,102 shares Common Stock held directly following the reported holdings entry

Restricted stock awards granted 285,000 shares Common stock granted March 30, 2026 as restricted stock awards for no consideration

Grant date March 30, 2026 Date the restricted stock awards were granted to the reporting person

Vesting date March 30, 2029 Date the restricted stock awards vest in full, subject to continued service

Key Terms

restricted stock awards, grant date, vest in full

3 terms

restricted stock awards financial

"shares of common stock granted ... as restricted stock awards"

Restricted stock awards are company shares given to employees or executives that cannot be sold or transferred until certain conditions — like staying with the company for a set time or meeting performance targets — are met, like a gift that is locked in a safe until rules are satisfied. Investors care because these awards tie management’s pay to company performance, can increase the number of shares outstanding when they become tradable (dilution), and may signal expected future selling pressure or commitment to long-term growth.

grant date financial

"the third anniversary of the March 30, 2026 grant date"

The grant date is the day a company formally gives an employee or contractor the right to receive stock-based compensation, such as stock options or restricted shares. It matters to investors because it fixes key terms—like the price, the start of the ownership clock, and when the award will affect the company’s financial statements and share count—so it can influence dilution, reported expenses, and potential future selling pressure.

vest in full financial

"The restricted stock awards vest in full on March 30, 2029"

AI-generated analysis. How Rhea-AI works. Not financial advice.

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FAQ

What ownership did Kevin Allan Grotke report in Capstone Holding Corp. (CAPS)?

Kevin Allan Grotke reported direct ownership of 526,102 shares of Capstone Holding Corp. common stock. This total includes 285,000 restricted shares granted as stock awards, which are subject to future vesting rather than being fully transferable immediately.

How many restricted stock awards did CAPS officer Kevin Allan Grotke receive and when?

He received 285,000 shares of Capstone common stock as restricted stock awards on March 30, 2026, for no cash consideration. These awards form part of his equity compensation package and are reported within his total beneficial share ownership.

When do the restricted stock awards for CAPS insider Kevin Allan Grotke vest?

The restricted stock awards vest in full on March 30, 2029, the third anniversary of the March 30, 2026 grant date. Vesting is explicitly conditioned on Grotke’s continued service with the company through that vesting date.

Does the CAPS Form 3 report any stock purchases or sales by Kevin Allan Grotke?

The Form 3 does not report any stock purchases or sales by Grotke. It instead lists a direct holding of 526,102 common shares, including restricted stock awards, as his initial statement of beneficial ownership in Capstone Holding Corp.

What position does Kevin Allan Grotke hold in relation to Capstone Holding Corp. (CAPS)?

Kevin Allan Grotke is identified as an officer of Capstone Holding Corp., serving as President & CEO of TotalStone. This officer title is disclosed alongside his reported beneficial ownership of Capstone common stock in the Form 3 filing.

SEC Form 3

FORM 3

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

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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:			3235-0104
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hours per response:			0.5

1. Name and Address of Reporting Person^*

Grotke Kevin Allan

(Last) (First) (Middle)

18400 76TH AVENUE

(Street)

TINLEY PARK ILLINOIS 60477

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
04/01/2026

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

3a. Foreign Trading Symbol

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

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

	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	President & CEO of TotalStone

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

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

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	526,102(1)	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. Including 285,000 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.

	/s/ Kevin Grotke	07/22/2026
	** 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 5 (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 3: SEC 1473 (03-26)