Every S-1 that Capstone Holding Corp. (CAPS) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A S-1 covers the registration statement a company files to sell shares publicly, so if you follow CAPS and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full CAPS filings page.
Capstone Holding Corp. is registering 3,000,000 shares of common stock for resale by Tumim Stone Capital under an amended equity line financing. These Equity Line Securities support a facility under which Capstone may sell up to $20.0 million of new shares to Tumim at a discount to market.
Capstone will not receive proceeds from Tumim’s resale of these 3,000,000 shares but may raise cash when it sells newly issued stock to Tumim, primarily for working capital and general corporate purposes. The company distributes and installs thin veneer stone and related masonry products across 38 U.S. states and two Canadian provinces and is pursuing growth through acquisitions and new products such as its Toro manufactured stone line.
The filing highlights substantial dilution risk from the equity line and other financings, substantial doubt about Capstone’s ability to continue as a going concern, and the risk of Nasdaq delisting due to noncompliance with the $1.00 minimum bid price requirement.
Capstone Holding Corp. is registering 4,407,334 shares of common stock for resale by investor 3i, LP. These include 4,002,334 shares issuable upon conversion of an October 2025 senior secured convertible note and 405,000 shares issuable upon exercise of a warrant.
The company is not selling any shares in this S-1 and will not receive proceeds from 3i’s resale, other than about $4,050 if the warrant is exercised for cash. As of June 26, 2026, 15,203,173 shares were outstanding, with 19,610,507 shares expected to be outstanding if all registered shares are issued.
The prospectus highlights substantial doubt about Capstone’s ability to continue as a going concern, a Nasdaq minimum bid-price deficiency and significant dilution risk from the convertible notes, warrant, equity line and other potential equity financings.
Capstone Holding Corp. filed a resale registration on Form S‑1 covering up to 4,306,664 shares of common stock. These shares are issuable upon conversion of a senior secured convertible note with $3,545,712.42 principal at a fixed conversion price of $1.10 per share, and may be sold from time to time by the selling stockholder, 3i, LP.
The Company is not selling shares in this registration and will not receive proceeds from any resale; it may receive proceeds from sales of the Convertible Notes under the purchase agreement. Common stock outstanding was 7,906,205 shares before the offering and would be 12,212,869 shares after assumed conversion. The shares trade on Nasdaq as “CAPS”; the closing price was $1.14 on October 22, 2025. The filing notes a 4.99% beneficial ownership cap (at the holder’s election, up to 9.99%) and that stockholders approved an issuance above the Nasdaq 19.99% cap on July 26, 2025. Sales may occur in public or private transactions at market-related or negotiated prices as described under Plan of Distribution.