Capstone Holding (CAPS) CFO awarded 190,000-share restricted stock grant

Rhea-AI Filing Summary

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

An insider disclosure for Capstone Holding Corp. states that Chief Financial Officer Edward Christopher Schultz received a grant of 190,000 shares of common stock on March 30, 2026 as restricted stock awards, for no consideration. These shares vest in full on March 30, 2029, subject to his continued service. The Form 4/A amendment corrects an earlier description, clarifying that the grant consists of common shares rather than restricted stock units.

Insider Trade Summary

Net Buyer: 190,000 shares

Net Buy 1 txn

Insider SCHULTZ EDWARD CHRISTOPHER

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1, F2	190,000	--	--

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

Footnotes (2)

1. F1. 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.
2. F2. 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.

Key Figures

Common shares granted: 190,000 shares of common stock Vesting date: March 30, 2029 Post-transaction holdings: 190,000 shares

3 metrics

Common shares granted 190,000 shares of common stock Restricted stock awards granted to the CFO on March 30, 2026

Vesting date March 30, 2029 Restricted stock awards vest in full on this date, subject to continued service

Post-transaction holdings 190,000 shares Total common stock held directly by the reporting person after the grant

Key Terms

restricted stock awards, restricted stock units, vest in full

3 terms

restricted stock awards financial

"Including 190,000 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.

restricted stock units financial

"shares granted were shares of common stock, rather than restricted stock units"

Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.

vest in full financial

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 07/22/2026 - 09:11 PM Accepted by SEC EDGAR 07/22/2026 - 09:11 PM Learn about SEC filing dates

FAQ

What insider equity award did CAPS report for CFO Edward Christopher Schultz?

Capstone Holding (CAPS) reported that CFO Edward Christopher Schultz received a grant of 190,000 shares of common stock on March 30, 2026. The award is structured as restricted stock awards, granted for no consideration, and represents his direct holdings after the transaction.

How many shares were granted to the CAPS CFO and on what terms do they vest?

The CAPS CFO was granted 190,000 shares of common stock as restricted stock awards. According to the disclosure, these shares vest in full on March 30, 2029, the third anniversary of the grant date, subject to his continued service through that vesting date.

What change does the Form 4/A amendment for CAPS specifically correct?

The Form 4/A amendment clarifies that the equity granted to the CAPS CFO consists of shares of common stock. It replaces an earlier description that had identified the award as restricted stock units, without changing the reported share amount, grant date, or vesting terms.

Did the CAPS CFO pay any cash consideration for the 190,000-share award?

No cash was paid; the filing states the CAPS CFO received 190,000 shares of common stock as restricted stock awards for no consideration. This means the shares were granted as part of his compensation rather than purchased in a cash transaction.

What is the vesting schedule for the CAPS CFO’s restricted stock awards?

The restricted stock awards granted to the CAPS CFO vest in full on March 30, 2029. Vesting is contingent on his continued service with Capstone Holding Corp. through that date; there are no interim or incremental vesting milestones described in the disclosure.

Was the CAPS CFO’s 190,000-share grant reported under a Rule 10b5-1 trading plan?

The Rule 10b5-1 checkbox in the CAPS insider report is not selected. The transaction is characterized as a grant of restricted stock awards rather than an open-market trade executed pursuant to a pre-arranged Rule 10b5-1 trading plan.

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)

18400 76TH AVENUE

(Street)

TINLEY PARK ILLINOIS 60477

(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)
04/01/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock(1)	03/30/2026		A		190,000(2)	A	(2)	190,000(2)	D

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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. 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.

2. 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.

	/s/ Edward Schultz	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 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)