Capstone Holding Corp. (CAPS): debt financing — Capstone Holding issues second convertible note for $3.25M gross proceeds at $1.10 conversion price

Capstone Holding Corp.

Second senior secured convertible note issued with original principal of $3,545,712.42, 8.34% OID.
Gross proceeds of $3,250,000; first note had $3,272,966 principal.
Note bears 7.0% interest; quarterly equal installments for principal and interest.
Conversion price $1.10 per share; buyer beneficial ownership capped at 4.99%.
Joseph Gunnar & Co. acted as sole sales agent, receiving 7% cash fee on gross proceeds.

Key facts

Extracted from this filing and checked against the source text.

Debt Financings SEC 8-K Item 2.03/2.04 confidence 0.9

Capstone Holding Corp. incurred convertible notes of original principal amount of $3,545,712.42 with an institutional investor at 7.0% per annum.

Instrument: convertible notes
Principal: original principal amount of $3,545,712.42
Counterparty: an institutional investor
Rate: 7.0% per annum
Event: incurrence

Exact text from the filing

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 ”).

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Source: SEC EDGAR

accession 0001213900-25-101673

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