Capstone Holding Corp.
For the period ended Jun 30, 2026. Filed Aug 12, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2026 · Filed Aug 12, 2026
CAPS$2.10+10.5%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. EXHIBITS
| Exhibit | |
|---|---|
| Number | Exhibit Description |
| 3.1* | Amendment to the Certificate of Designation of Preferences, Rights and Limitations of Series B Preferred Stock |
| 10.1 | Conversion Price Voluntary Adjustment Notice dated April 16, 2026 (incorporated by reference to exhibit 10.1 to current report on Form 8-K filed with the SEC on April 16, 2026) |
| 10.2 | Waiver, dated May 18, 2026, from Beacon Bank & Trust under the Revolving Credit, Term Loan and Security Agreement, as amended (incorporated by reference to exhibit 10.3 to quarterly report on 10-Q filed with the SEC on May 20, 2026) |
| 10.3 | Amended and Restated Common Stock Purchase Agreement, dated as of June 11, 2026, by and between Capstone Holding Corp. and Tumim Stone Capital, LLC (incorporated by reference to exhibit 10.1 to current report on Form 8-K filed with the SEC on June 12, 2026) |
| 10.4 | Sixteenth Amendment to Revolving Credit, Term Loan and Security Agreement, dated June 17, 2026, by and between TotalStone, LLC, Northeast Masonry Distributors, LLC, TotalStone Properties, LLC, CS Purchase Holdings LLC, Carolina Stone Holdings, LLC, Carolina Stone Distributors, LLC, and Beacon Bank & Trust (incorporated by reference to exhibit 10.1 to current report on Form 8-K filed with the SEC on June 22, 2026) |
| 10.5 | Fourth Amendment to Second Amended and Restated Credit Agreement, dated June 17, 2026, by and between TotalStone, LLC, Northeast Masonry Distributors, LLC, TotalStone Properties, LLC, and Stream Finance, LLC. (incorporated by reference to exhibit 10.2 to current report on Form 8-K filed with the SEC on June 22, 2026) |
| 10.6 | First Amendment to the Capstone Holding Corp. 2025 Stock Incentive Plan (incorporated by reference to exhibit 10.3 to current report on Form 8-K filed with the SEC on June 22, 2026) |
| 10.7 | First Amendment to Amended and Restated Common Stock Purchase Agreement, dated July 2, 2026, by and between Capstone Holding Corp. and Tumim Stone Capital, LLC (incorporated by reference to exhibit 10.1 to current report on Form 8-K filed with the SEC on July 6, 2026) |
| 10.8 | First Amendment to Senior Secured Convertible Note dated July 29, 2026 (incorporated by reference to exhibit 10.1 to current report on Form 8-K filed with the SEC on August 3, 2026) |
| 10.9* | Form of Master Restricted Stock Agreement, dated August 7, 2026, by and between Capstone Holding Corp. and each of the recipients named in the schedule filed therewith, together with a schedule of omitted agreements filed pursuant to Instruction 2 to Item 601(b)(10) of Regulation S-K |
| 10.10* | Master Restricted Stock Agreement, dated August 7, 2026, by and between Capstone Holding Corp. and Matthew Lipman |
| 10.11* | Conversion Price Voluntary Adjustment Notice, dated August 10, 2026, between Capstone Holding Corp. and 3i, LP |
| 31.1* | Certification pursuant to 18 U.S.C. Section 1350 Section 302 of the Sarbanes-Oxley Act of 2002 - Chief Executive Officer |
| 31.2* | Certification pursuant to 18 U.S.C. Section 1350 Section 302 of the Sarbanes-Oxley Act of 2002 - Chief Financial Officer |
| 32.1** | Certification pursuant to 18 U.S.C. Section 1350 Section 906 of the Sarbanes-Oxley Act of 2002 - Chief Executive Officer |
| 32.2** | Certification pursuant to 18 U.S.C. Section 1350 Section 906 of the Sarbanes-Oxley Act of 2002 - Chief Financial Officer |
| 101.INS* | Inline XBRL Instance Document |
| 101.SCH* | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL* | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF* | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB* | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE* | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104* | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
| * | Filed herewith. |
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| ** | Furnished herewith |
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