Capstone Holding (OTC: CAPS) amends 356,250-share director stock grant
Rhea-AI Filing Summary
TOPOREK MICHAEL reported acquisition or exercise transactions in this Form 4 filing.
Capstone Holding Corp. director Michael Toporek reported an amended grant of 356,250 shares of common stock as restricted stock awards on March 30, 2026, issued for no consideration. These shares vest only upon specified Board-related events, bringing his reported direct holdings to 391,678 shares, excluding 121,774 shares controlled through BP Peptides, LLC.
Positive
- None.
Negative
- None.
Insider Trade Summary
Net Buyer: 356,250 shares
Net Buy
1 txn
Insider
TOPOREK MICHAEL
Role
Director
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Grant/Award | Common Stock F1, F2, F3 | 356,250 | -- | -- |
Holdings After Transaction:
Common Stock — 391,678 shares (Direct)
Footnotes (3)
- F1. 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.
- F2. 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.
- F3. Excludes 121,774 shares controlled by the Reporting Person, through his control of BP Peptides, LLC.
Key Figures
Restricted stock grant: 356,250 shares
Direct holdings after grant: 391,678 shares
Indirectly controlled shares excluded: 121,774 shares
+1 more
4 metrics
Restricted stock grant
356,250 shares
Shares of common stock granted as restricted stock awards on March 30, 2026
Direct holdings after grant
391,678 shares
Direct Capstone common shares held by Michael Toporek following the reported transaction
Indirectly controlled shares excluded
121,774 shares
Shares controlled via BP Peptides, LLC that are excluded from direct post-transaction holdings
Transaction date
March 30, 2026
Date on which the 356,250 restricted shares of common stock were granted
Key Terms
restricted stock awards, vesting schedule, Cause, Board of Directors
4 terms
restricted stock awards financial
"356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration."
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.
vesting schedule financial
"to correct the nature of the shares and the vesting schedule reported as granted on April 1, 2026."
A vesting schedule is a timeline that determines when someone gains full ownership of certain benefits, such as company stock or retirement contributions. Think of it like earning the right to own a gift gradually over time, rather than receiving it all at once. It matters to investors because it affects when they can fully access or sell these benefits, influencing their financial planning and decision-making.
Cause regulatory
"removal from the Board of Directors other than for Cause, or failure to be re-elected to the Board of Directors."
Board of Directors financial
"If the Reporting Person voluntarily resigns from the Board of Directors before the applicable vesting event, the restricted stock awards will be forfeited."
The Board of Directors is a group of people chosen by a company's owners to help make big decisions and oversee how the company is run. They act like a team of advisors or managers, making sure the company stays on track and meets its goals. Their choices can influence the company's success and how it grows.
AI-generated analysis. How Rhea-AI works. Not financial advice.
FAQ
What stock grant did Capstone Holding Corp. (CAPS) director Michael Toporek report in this Form 4/A?
Michael Toporek reported a grant of 356,250 shares of common stock as restricted stock awards on March 30, 2026. The shares were granted for no consideration and are structured as common stock, not restricted stock units, according to the amendment language.
Why was this Form 4/A amendment filed for Capstone Holding Corp. (CAPS)?
The amendment was filed to correct the nature of the shares and the vesting schedule previously reported. It clarifies that the grant consisted of shares of common stock rather than restricted stock units and adjusts the described vesting terms for the reported award.
Are Michael Toporek’s reported CAPS transactions under a Rule 10b5-1 trading plan?
The filing’s Rule 10b5-1 checkbox is not marked as affirming that the transaction was made pursuant to a Rule 10b5-1 trading plan. The grant is described as a restricted stock award for no consideration, with no separate trading plan reference in the notes provided.
What key conditions can cause forfeiture of the CAPS restricted stock awards granted to Michael Toporek?
The restricted stock awards will be forfeited if Toporek voluntarily resigns from the Board of Directors before a qualifying vesting event. Qualifying events include death, disability, removal other than for Cause, or failure to be re-elected to the Board of Directors.