{"version":"company-facts.v1","source":"https://secwatch.observer","generated_at":"2026-06-04T05:53:36.767020+00:00","company":{"ticker":"CAPS","cik":887151,"company_name":"Capstone Holding Corp."},"pagination":{"limit":100,"returned":11,"next_cursor":null},"license":"Source filings: public domain (SEC EDGAR). Summaries (headline + bullets): CC-BY-4.0; attribute https://secwatch.observer","facts":[{"fact_type":"material_agreement","fact_key":"c489b6e750de85c8a19c0b2c01a7711a3cdaf9fb","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2026-04-16T23:59:59+00:00","payload":{"action":"amendment","agreement_name":"Conversion Price Voluntary Adjustment Notice","agreement_type":"notes_offering","counterparty":"institutional investor","effective_date":"2026-04-16","item_codes_triggered":["1.01"],"value_text":"reduction of conversion price to $0.57 for $500,000 of principal amount"},"claim":"Capstone Holding Corp. amended Conversion Price Voluntary Adjustment Notice with institutional investor valued at reduction of conversion price to $0.57 for $500,000 of principal amount (effective 2026-04-16).","evidence_excerpt":"On that date, pursuant to Section 7(h) of the October 2025 Convertible Note, the Company and the Buyer agreed, pursuant to a Conversion Price Voluntary Adjustment Notice signed by both parties, to reduce the Conversion Price to $0.57 with regard to $500,000 of the principal amount that previously had a $1.10 conversion price.","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-26-044558","anchor_url":"https://secwatch.observer/filing/0001213900-26-044558#claim-c489b6e750de85c8a19c0b2c01a7711a3cdaf9fb","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390026044558/0001213900-26-044558-index.htm"},{"fact_type":"exchange_compliance_notice","fact_key":"4c41855cff58790ce1434ea91c4a313b695a049b","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2026-01-09T23:59:59+00:00","payload":{"company_response":null,"compliance_status":"deficient","cure_deadline":"2026-07-06","deficiency_type":"minimum_bid_price","delisting_effective_date":null,"exchange":"nasdaq","hearing_date":null,"immediate_listing_effect":null,"minimum_requirement":null,"notice_date":"2026-01-07","notice_type":"deficiency_notice","plan_due_date":null,"raw_rule_text":null,"reported_value":null,"rule_numbers":["5550(a)(2)"],"rules_cited_in_text":true},"claim":"Capstone Holding Corp. received a nasdaq deficiency notice notice regarding minimum bid price (rules 5550(a)(2)).","evidence_excerpt":"January 7, 2026, Capstone\nHolding Corp. (the “Company”) received a deficiency letter from the Nasdaq Listing Qualifications Department (the “Staff”)\nof The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that, for the last 30 consecutive business days, the closing\nbid price for the Company’s common stock has been below the minimum $1.00 per share required for continued listing on The Nasdaq\nCapital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the “Minimum Bid Price Requirement”). The Nasdaq deficiency letter\nhas no immediate effect on the listing of the Company’s common stock, a","confidence":0.98,"filing_url":"https://secwatch.observer/filing/0001213900-26-003008","anchor_url":"https://secwatch.observer/filing/0001213900-26-003008#claim-4c41855cff58790ce1434ea91c4a313b695a049b","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390026003008/0001213900-26-003008-index.htm"},{"fact_type":"material_agreement","fact_key":"c905940c65e7fc4d8c68b9eac8724bd4632dc231","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-12-29T23:59:59+00:00","payload":{"action":"entry","agreement_name":"Nectarine Letter Agreement","agreement_type":"other","counterparty":"Nectarine Management LLC","effective_date":null,"item_codes_triggered":["1.01"],"value_text":null},"claim":"Capstone Holding Corp. entered into Nectarine Letter Agreement with Nectarine Management LLC.","evidence_excerpt":"o vote on a proposal to approve possible future payments to Nectarine Management LLC (“Nectarine”). Nectarine is owned by\nMichael Toporek, Matthew E.","confidence":0.4,"filing_url":"https://secwatch.observer/filing/0001213900-25-126128","anchor_url":"https://secwatch.observer/filing/0001213900-25-126128#claim-c905940c65e7fc4d8c68b9eac8724bd4632dc231","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025126128/0001213900-25-126128-index.htm"},{"fact_type":"debt_financing","fact_key":"1c7eac299e9c1a4a039c45813f0db74ed303f5ea","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-12-02T23:59:59+00:00","payload":{"counterparty":"seller","effective_date":"2025-12-01","event":"incurrence","instrument_type":"guarantee","interest_rate_text":null,"item_codes_triggered":["2.03"],"maturity_text":null,"principal_text":null},"claim":"Capstone Holding Corp. incurred guarantee with seller.","evidence_excerpt":"the Company entered into a guaranty agreement (the “ Guaranty Agreement ”) in favor of the seller in connection with the First SPA Note issued under the Share Purchase Agreement","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-25-116968","anchor_url":"https://secwatch.observer/filing/0001213900-25-116968#claim-1c7eac299e9c1a4a039c45813f0db74ed303f5ea","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025116968/0001213900-25-116968-index.htm"},{"fact_type":"debt_financing","fact_key":"6ed9cba64e1362b303457b93ba152b6665b130a8","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-12-02T23:59:59+00:00","payload":{"counterparty":"Dream Family Holdings Ltd, Robert Jahnsen, The Jeffery Leech Family Trust, Jeffery Leech, Wendy Chiavacci, Michael Siemens, Nathan Thompson, Curt Trierweiler","effective_date":"2025-12-01","event":"incurrence","instrument_type":"loan","interest_rate_text":"30-day average SOFR plus an applicable margin that is (i) 1.25% through November","item_codes_triggered":["2.03"],"maturity_text":"December 1, 2028","principal_text":"C$2,000,000 (approximately $1,434,412)"},"claim":"Capstone Holding Corp. incurred loan of C$2,000,000 (approximately $1,434,412) with Dream Family Holdings Ltd, Robert Jahnsen, The Jeffery Leech Family Trust, Jeffery Leech, Wendy Chiavacci, Michael Siemens, Nathan Thompson, Curt Trierweiler at 30-day average SOFR plus an applicable margin that is (i) 1.25% through November maturing December 1, 2028.","evidence_excerpt":"(3) a promissory note in the principal amount of C$2,000,000 (approximately $1,434,412) (the “ Second SPA Note ”), payable in equal installments of C$50,000 on the last day of each of March, June, September, and December, commencing on March 31, 2027, with a maturity date of December 1, 2028 and the interest at a per annum rate equal to 30-day average SOFR plus an applicable margin","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-25-116968","anchor_url":"https://secwatch.observer/filing/0001213900-25-116968#claim-6ed9cba64e1362b303457b93ba152b6665b130a8","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025116968/0001213900-25-116968-index.htm"},{"fact_type":"debt_financing","fact_key":"6fbc8a26806c837244262ed110b7b99871d9b86a","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-12-02T23:59:59+00:00","payload":{"counterparty":"Dream Family Holdings Ltd, Robert Jahnsen, The Jeffery Leech Family Trust, Jeffery Leech, Wendy Chiavacci, Michael Siemens, Nathan Thompson, Curt Trierweiler","effective_date":"2025-12-01","event":"incurrence","instrument_type":"loan","interest_rate_text":"TD Bank’s prime rate plus 1.00% through November 30, 2026, and at TD Bank’s prim","item_codes_triggered":["2.03"],"maturity_text":"March 31, 2027","principal_text":"C$1,600,000 (approximately $1,147,529)"},"claim":"Capstone Holding Corp. incurred loan of C$1,600,000 (approximately $1,147,529) with Dream Family Holdings Ltd, Robert Jahnsen, The Jeffery Leech Family Trust, Jeffery Leech, Wendy Chiavacci, Michael Siemens, Nathan Thompson, Curt Trierweiler at TD Bank’s prime rate plus 1.00% through November 30, 2026, and at TD Bank’s prim maturing March 31, 2027.","evidence_excerpt":"(2) a promissory note in the principal amount of C$1,600,000 (approximately $1,147,529) (the “ First SPA Note ”), payable in the amount of C$400,000 on July 31, 2026 and C$400,000 on October 31, 2026, with a maturity date of March 31, 2027 and the interest at TD Bank’s prime rate plus 1.00% through November 30, 2026, and at TD Bank’s prime rate plus 3.00% from December 1, 2026 onward","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-25-116968","anchor_url":"https://secwatch.observer/filing/0001213900-25-116968#claim-6fbc8a26806c837244262ed110b7b99871d9b86a","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025116968/0001213900-25-116968-index.htm"},{"fact_type":"ma_transaction","fact_key":"c12c1c39d60c78f8e526dcc7e0794fc8eb5277d6","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-12-02T23:59:59+00:00","payload":{"action":"acquisition","closing_date":"2025-11-30","consideration_text":"C$6,200,000 in cash (approximately $4,446,676 at an exchange rate of US$1.00 = C$1.3943) plus a promissory note and earn-out potential","counterparty":"Fraser Canyon Holdings Inc.","effective_date":"2025-11-30","item_codes_triggered":["2.01"]},"claim":"Capstone Holding Corp. completed an acquisition involving Fraser Canyon Holdings Inc. for C$6,200,000 in cash (approximately $4,446,676 at an exchange rate of US$1.00 = C$1.3943) plus a promissory note and earn-out potential (closed 2025-11-30).","evidence_excerpt":"On December 1, 2025, Capstone Holding Corp. (the \" Company \") closed the acquisition (the \" Acquisition \") of Fraser Canyon Holdings Inc.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001213900-25-116968","anchor_url":"https://secwatch.observer/filing/0001213900-25-116968#claim-c12c1c39d60c78f8e526dcc7e0794fc8eb5277d6","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025116968/0001213900-25-116968-index.htm"},{"fact_type":"ma_transaction","fact_key":"3a1c44c86f172441fe40e8b4998b8c763527eb0e","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-11-07T23:59:59+00:00","payload":{"action":"acquisition","closing_date":"2025-08-22","consideration_text":"aggregate purchase price of the Holdings Membership Interests is (i) $2,625,000 in cash, subject to adjustment set forth in Section 2.6 of the Purchase Agreemen","counterparty":"D22L, Inc., David Clary, and Stuart Powell","effective_date":"2025-08-22","item_codes_triggered":["2.01"]},"claim":"Capstone Holding Corp. completed an acquisition involving D22L, Inc., David Clary, and Stuart Powell for aggregate purchase price of the Holdings Membership Interests is (i) $2,625,000 in cash, subject to adjustment set forth in Section 2.6 of the Purchase Agreemen (closed 2025-08-22).","evidence_excerpt":"of the Purchase Agreement previously\nfiled in the current report on Form 8-K dated August 18, 2025. The aggregate purchase price of the Holdings Membership Interests is (i)\n$2,625,000 in cash, subject to adjustment set forth in Section 2.6 of the Purchase Agreement, plus (ii) a seller note in the original\nprincipal amount of $1,250,000, plus (iii) the amount","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-25-107626","anchor_url":"https://secwatch.observer/filing/0001213900-25-107626#claim-3a1c44c86f172441fe40e8b4998b8c763527eb0e","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025107626/0001213900-25-107626-index.htm"},{"fact_type":"debt_financing","fact_key":"19f549591f32e0e648baa2e9651ce929a791a5d5","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-10-23T23:59:59+00:00","payload":{"counterparty":"an institutional investor","effective_date":"2025-10-22","event":"incurrence","instrument_type":"convertible_notes","interest_rate_text":"7.0% per annum","item_codes_triggered":["2.03"],"maturity_text":null,"principal_text":"original principal amount of $3,545,712.42"},"claim":"Capstone Holding Corp. incurred convertible notes of original principal amount of $3,545,712.42 with an institutional investor at 7.0% per annum.","evidence_excerpt":"On October 22, 2025 (the “ Issuance Date ”), the Company issued to the Buyer a second Convertible Note in the original principal amount of $3,545,712.42 (the “ Second Note ”).","confidence":0.9,"filing_url":"https://secwatch.observer/filing/0001213900-25-101673","anchor_url":"https://secwatch.observer/filing/0001213900-25-101673#claim-19f549591f32e0e648baa2e9651ce929a791a5d5","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025101673/0001213900-25-101673-index.htm"},{"fact_type":"governance_change","fact_key":"9fb6f9f8889e322daf5b7a752d936bcb3482f0b1","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-10-06T23:59:59+00:00","payload":{"change_type":"charter_amendment","effective_date":"2025-10-06","item_codes_triggered":["5.03"],"summary_text":"Certificate of Designation for Series Z Preferred shares filed, constituting an amendment to the articles of incorporation."},"claim":"Capstone Holding Corp.: Certificate of Designation for Series Z Preferred shares filed, constituting an amendment to the articles of incorporation (effective 2025-10-06).","evidence_excerpt":"Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. The applicable disclosures set forth in Item 1.01 above regarding the Certificate of Designation are incorporated by reference into this Item 5.03.","confidence":0.95,"filing_url":"https://secwatch.observer/filing/0001213900-25-096315","anchor_url":"https://secwatch.observer/filing/0001213900-25-096315#claim-9fb6f9f8889e322daf5b7a752d936bcb3482f0b1","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025096315/0001213900-25-096315-index.htm"},{"fact_type":"debt_financing","fact_key":"eab216d7032106acd897d67da7109b58c72fa5cc","cik":887151,"ticker":"CAPS","company_name":"Capstone Holding Corp.","filed_at":"2025-08-04T23:59:59+00:00","payload":{"counterparty":"an institutional investor","effective_date":"2025-07-29","event":"incurrence","instrument_type":"convertible_notes","interest_rate_text":"8.34% original issue discount","item_codes_triggered":["2.03"],"maturity_text":null,"principal_text":"aggregate original principal amount of up to $10,909,885"},"claim":"Capstone Holding Corp. incurred convertible notes of aggregate original principal amount of up to $10,909,885 with an institutional investor at 8.34% original issue discount.","evidence_excerpt":"On July 29, 2025, Capstone Holding Corp. (the \" Company \") entered into a securities purchase agreement (the \" Purchase Agreement \") with an institutional investor (the \" Buyer \"), pursuant to which the Company authorized the issuance of senior secured convertible notes to the Buyer, in the aggregate original principal amount of up to $10,909,885, which are being issued with a 8.34% original issue discount (each, a \" Convertible Note \").","confidence":0.97,"filing_url":"https://secwatch.observer/filing/0001213900-25-071366","anchor_url":"https://secwatch.observer/filing/0001213900-25-071366#claim-eab216d7032106acd897d67da7109b58c72fa5cc","edgar_index_url":"https://www.sec.gov/Archives/edgar/data/887151/000121390025071366/0001213900-25-071366-index.htm"}]}