Capstone CFO granted 310,310 restricted shares

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

Rhea-AI Filing Summary

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

Capstone Holding Corp. reported that its Chief Financial Officer, Edward Christopher Schultz, received a grant of 310,310 shares of unvested restricted common stock on August 7, 2026 under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. These shares were granted for no consideration and may not be sold, transferred or pledged until they vest. The restricted stock is scheduled to vest in full on August 7, 2029, subject to his continued service. Following this award, Schultz directly holds 500,310 shares of the company’s common stock.

Insider Trade Summary

Grant/Award: 310,310 shares

Grant/Award 1 txn

Insider SCHULTZ EDWARD CHRISTOPHER

Role Chief Financial Officer

Type	Security	Shares	Price	Value
Grant/Award	Common Stock F1	310,310	--	--

Holdings After Transaction: Common Stock — 500,310 shares (Direct)

Footnotes (1)

1. F1. 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.

Key Figures

Restricted stock granted: 310,310 shares Holdings after transaction: 500,310 shares Vesting date: August 7, 2029

3 metrics

Restricted stock granted 310,310 shares Restricted common stock award granted on August 7, 2026

Holdings after transaction 500,310 shares Total common shares directly held by CFO after grant

Vesting date August 7, 2029 Restricted stock vests in full, subject to continued service

Key Terms

restricted stock, vest in full, Stock Incentive Plan

3 terms

restricted stock financial

"The reported shares are unvested restricted stock and may not be sold"

Shares granted to an individual that carry limits on transfer or sale until certain conditions are met, such as staying with the company for a set time or hitting performance targets. Think of them as a locked gift that gradually opens; for investors they matter because they affect how many shares may enter the market later, signal management incentives and potential dilution, and reveal confidence in future company performance.

vest in full financial

"The restricted stock awards will vest in full on August 7, 2029"

Stock Incentive Plan financial

"under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended"

A stock incentive plan is a company program that gives employees or directors pieces of ownership or the right to buy shares over time, similar to receiving a bonus paid in company stock instead of cash. Investors pay attention because these plans align staff incentives with long‑term company performance but can also dilute existing shareholders and affect reported profits when grants are expensed, so they influence both ownership percentages and financial results.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What equity award did Capstone Holding Corp. (CAPS) grant to its CFO?

Capstone Holding Corp. granted its CFO, Edward Christopher Schultz, 310,310 shares of unvested restricted common stock on August 7, 2026. The award was made for no consideration under the 2025 Stock Incentive Plan, as amended.

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

The CFO’s restricted stock awards are scheduled to vest in full on August 7, 2029. Vesting is subject to his continued service with Capstone Holding Corp. through that date.

Are the CFO’s new Capstone Holding Corp. (CAPS) restricted shares transferable before vesting?

The reported restricted shares may not be sold, transferred or pledged before vesting. They remain unvested restricted stock until August 7, 2029, assuming the CFO continues in service.

How many Capstone Holding Corp. (CAPS) shares does the CFO hold after this Form 4?

After the reported grant, the CFO directly holds 500,310 shares of Capstone Holding Corp. common stock. This figure includes the 310,310 unvested restricted shares granted on August 7, 2026.

Under what plan were the Capstone Holding Corp. (CAPS) restricted shares granted to the CFO?

The 310,310 restricted shares granted to the CFO were issued under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The grant was made for no consideration as restricted stock awards.

Was the Capstone Holding Corp. (CAPS) CFO’s equity grant made under a Rule 10b5-1 plan?

The filing’s Rule 10b5-1 checkbox is not marked as a plan transaction. The grant is reported as a grant, award, or other acquisition of restricted stock, not as a trade under a Rule 10b5-1 plan.

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

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Accepted by SEC EDGAR 08/11/2026 - 08:19 PM EDT Learn about SEC filing dates

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)
08/07/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	08/07/2026		A		310,310	A	(1)	500,310	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. 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.

	/s/ Edward Schultz	08/11/2026
	** 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)