Capstone Holding Corp. (CAPS) shareholders
CAPSNasdaqWholesale-Lumber & Other Construction MaterialsFiscal year ends December 31
Financials through Q3 FY2026, quarter ended Sep 30, 2026Last filing: 10-Q on Nov 12, 2026Score 6/3095% below fair value
$1.76−0.26 (-12.66%)
Close on Nov 12, 2026Market cap $1.60MP/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
0.0%
0M of 21M shares
Institutional holders
9
7 new, 5 sold out
Net institutional buying
0M
In Q2 2026
Insider trades, 12 months
0 buys · 0 sales
Open-market trades only
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| 3i, LP Joint filing with 3i Management LLC (9.90%), Maier Joshua Tarlow (9.90%) | 1,271,220 | 9.90% | 13G (passive) | Apr 22, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of CAPS | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Geode Capital Management, LLC | 2,050 | 0.01% | $15.62K | −7 | 0.00% |
| Jane Street Group, LLC | 1,560 | 0.01% | $11.88K | New | 0.00% |
| StoneX Group Inc. | 1,315 | 0.01% | $12.83K | New | 0.00% |
| Hrt Financial LP | 732 | 0.00% | $5.00K | New | 0.00% |
| Goldman Sachs Group Inc | 531 | 0.00% | $4.05K | New | 0.00% |
| Northern Trust Corp | 365 | 0.00% | $2.78K | New | 0.00% |
| Ground Swell Capital, LLC | 348 | 0.00% | $2.65K | New | 0.00% |
| Barclays PLC | 37 | 0.00% | $285 | New | 0.00% |
| KERR FINANCIAL PLANNING Corp | 3 | 0.00% | $690 | – | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | % of shares | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|---|
| Q2 2026 | 9 | 0M | 0.0% | 7 / 0 | 1 / 5 | 0M | 0M |
| Q1 2026 | 7 | 0M | 0.0% | 3 / 0 | 1 / 2 | 0M | 0M |
| Q4 2025 | 6 | 0M | 0.0% | 3 / 0 | 1 / 5 | 0M | 0M |
| Q3 2025 | 8 | 0M | 0.0% | 3 / 4 | 0 / 0 | 0M | 0M |
| Q2 2025 | 5 | 0M | 0.0% | 3 / 1 | 0 / 1 | 0M | 0M |
| Q1 2025 | 3 | 0M | 0.0% | 3 / 0 | 0 / 0 | 0M | 0M |
| Q2 2024 | 0 | 0M | 0.0% | 0 / 0 | 0 / 1 | 0M | 0M |
| Q1 2024 | 1 | 0M | 0.0% | 0 / 0 | 0 / 0 | 0M | 0M |
| Q4 2023 | 1 | 0M | 0.0% | 0 / 0 | 0 / 0 | 0M | 0M |
| Q3 2023 | 1 | 0M | 0.0% | 0 / 0 | 0 / 0 | 0M | 0M |
| Q2 2023 | 1 | 0M | 0.0% | 0 / 0 | 0 / 0 | 0M | 0M |
| Q1 2023 | 1 | 0M | 0.0% | 0 / 0 | 0 / 0 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
2 funds held CAPS in Q2 2026, 0% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of CAPS | Value | % of fund | As of |
|---|---|---|---|---|---|
| Fidelity Extended Market Index Fund | 56,123 | 0.27% | $17.97K | 0.00% | May 31, 2026 |
| Fidelity Series Total Market Index Fund | 3,674 | 0.02% | $1.18K | 0.00% | May 31, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | % of shares | Latest filing |
|---|---|---|---|---|
| Matthew E. Lipman | Chief Executive Officer, Director, 10% owner | 4,143,084 | 20.13% | Aug 11, 2026 |
| Kevin Allan Grotke | President & CEO of TotalStone | 1,041,597 | 5.06% | Aug 11, 2026 |
| Edward Christopher Schultz | Chief Financial Officer | 500,310 | 2.43% | Aug 11, 2026 |
| Fredric J. Feldman | Director | 200,124 | 0.97% | Aug 11, 2026 |
| Michael Toporek | Director | 1,614,421 | 7.85% | Aug 11, 2026 |
| John M. Holliman Iii | Director | 406,001 | 1.97% | Aug 11, 2026 |
| Elwood D. Howse | Director | 200,124 | 0.97% | Aug 11, 2026 |
| Gordon Lewis Strout Jr | Director | 1,363,938 | 6.63% | Aug 11, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Matthew E. Lipman Chief Executive Officer, Director, 10% owner | Aug 7, 2026 | Award | +1,094,648 | – | – | 1,492,648 |
| Kevin Allan Grotke President & CEO of TotalStone | Aug 7, 2026 | Award | +515,495 | – | – | 1,041,597 |
| John M. Holliman Iii Director | Aug 7, 2026 | Award | +305,248 | – | – | 401,343 |
| Gordon Lewis Strout Jr Director | Aug 7, 2026 | Award | +357,810 | – | – | 541,810 |
| Fredric J. Feldman Director | Aug 7, 2026 | Award | +105,124 | – | – | 200,124 |
| Michael Toporek Director | Aug 7, 2026 | Award | +1,094,647 | – | – | 1,492,647 |
| Elwood D. Howse Director | Aug 7, 2026 | Award | +105,124 | – | – | 200,124 |
| Edward Christopher Schultz Chief Financial Officer | Aug 7, 2026 | Award | +310,310 | – | – | 500,310 |
| John M. Holliman Iii Director | Mar 30, 2026 | Award | +95,000 | – | – | 95,000 |
| Gordon Lewis Strout Jr Director | Mar 30, 2026 | Award | +142,500 | – | – | 184,000 |
| Fredric J. Feldman Director | Mar 30, 2026 | Award | +95,000 | – | – | 95,000 |
| Elwood D. Howse Director | Mar 30, 2026 | Award | +95,000 | – | – | 95,000 |
| Michael Toporek Director | Mar 30, 2026 | Award | +356,250 | – | – | 391,678 |
| Matthew E. Lipman Chief Executive Officer, Director, 10% owner | Mar 30, 2026 | Award | +356,250 | – | – | 2,920,340 |
| Edward Christopher Schultz Chief Financial Officer | Mar 30, 2026 | Award | +190,000 | – | – | 190,000 |
| Gordon Lewis Strout Jr Director | Mar 7, 2025 | Buy | +41,500 | $4.00 | $166.00K | 41,500 |
| Gordon Lewis Strout Jr Director | Mar 7, 2025 | Other | +822,128 | – | – | 822,128 |
| Michael Toporek Director | Mar 7, 2025 | Buy | +41,750 | $4.00 | $167.00K | 41,750 |
| Matthew E. Lipman Chief Executive Officer, Director, 10% owner | Mar 7, 2025 | Buy | +41,750 | $4.00 | $167.00K | 2,570,412 |
| Neil S. Subin 10% owner | Dec 21, 2018 | Buy | +103,000 | $0.05 | $5.15K | 727,100 |
| Neil S. Subin 10% owner | Dec 21, 2018 | Sale | −206,000 | $0.05 | $10.30K | 2,708,484 |
| Lloyd I. Miller Iii 10% owner | Oct 5, 2017 | Sale | −100,000 | $0.06 | $6.00K | 624,100 |
| Investments Llc Bvf – | Jul 14, 2017 | Sale | −3,993,637 | $0.06 | $239.62K | 0 |
| Investments Llc Bvf – | Jul 14, 2017 | Sale | −242,236 | $0.06 | $14.53K | 1,377,652 |
| Investments Llc Bvf – | Jul 14, 2017 | Sale | −105,713 | $0.06 | $6.34K | 890,487 |
| Leslie M. Taeger SVP Chief Financial Officer | Jan 4, 2017 | Buy | +50,000 | $0.07 | $3.50K | 94,574 |
| Lloyd I. Miller Iii 10% owner | Dec 16, 2016 | Sale | −38,967 | $0.04 | $1.56K | 0 |
| Lloyd I. Miller Iii 10% owner | Dec 15, 2016 | Sale | −20,000 | $0.04 | $800 | 38,967 |
| Lloyd I. Miller Iii 10% owner | Aug 12, 2016 | Sale | −16,000 | $0.06 | $960 | 5,828,968 |
| Lloyd I. Miller Iii 10% owner | Aug 1, 2016 | Sale | −80,000 | $0.06 | $4.80K | 5,844,968 |
| Lloyd I. Miller Iii 10% owner | Jun 8, 2016 | Sale | −14,000 | $0.08 | $1.12K | 5,924,968 |
| Mark N. Lampert 10% owner | Jul 1, 2014 | Other | −616,563 | $0.30 | $184.97K | 3,993,637 |
| John M. Holliman Iii Executive Chairman, Director | Dec 6, 2013 | Buy | +25,000 | $0.26 | $6.50K | 507,614 |
| Lloyd I. Miller Iii 10% owner | Aug 7, 2013 | Buy | +87,500 | $0.23 | $20.13K | 5,938,968 |
| Lloyd I. Miller Iii 10% owner | Jul 30, 2013 | Buy | +1,139,000 | $0.20 | $227.80K | 5,851,468 |
| Lloyd I. Miller Iii 10% owner | Jun 10, 2013 | Buy | +300,000 | $0.18 | $54.00K | 4,712,468 |
| Fredric J. Feldman Director | Apr 8, 2013 | Buy | +25,000 | $0.21 | $5.25K | 225,564 |
| Lloyd I. Miller Iii 10% owner | Jan 25, 2013 | Other | +362,050 | – | – | 724,100 |
| Lloyd I. Miller Iii 10% owner | Dec 17, 2012 | Buy | +175,000 | $0.16 | $28.00K | 4,412,468 |
| Lloyd I. Miller Iii 10% owner | Dec 7, 2012 | Buy | +97,250 | $0.16 | $15.56K | 4,237,468 |
| Lloyd I. Miller Iii 10% owner | Dec 6, 2012 | Buy | +19,750 | $0.16 | $3.16K | 4,140,218 |
| Lloyd I. Miller Iii 10% owner | Nov 26, 2012 | Buy | +100,000 | $0.14 | $14.00K | 4,120,468 |
| Lloyd I. Miller Iii 10% owner | Nov 23, 2012 | Buy | +1,000 | $0.14 | $140 | 4,020,468 |
| Lloyd I. Miller Iii 10% owner | Nov 21, 2012 | Buy | +107,500 | $0.14 | $15.05K | 4,019,468 |
| Lloyd I. Miller Iii 10% owner | Oct 19, 2012 | Buy | +25,000 | $0.14 | $3.50K | 3,911,968 |
| John M. Holliman Iii Executive Chairman, Director | Oct 19, 2012 | Buy | +50,000 | $0.14 | $7.00K | 482,614 |
| John M. Holliman Iii Executive Chairman, Director | Oct 18, 2012 | Buy | +100,000 | $0.14 | $14.00K | 432,614 |
| Lloyd I. Miller Iii 10% owner | Oct 15, 2012 | Buy | +95,000 | $0.14 | $13.30K | 3,886,968 |
| Lloyd I. Miller Iii 10% owner | Oct 3, 2012 | Buy | +34,700 | $0.13 | $4.51K | 3,791,968 |
| Lloyd I. Miller Iii 10% owner | Sep 19, 2012 | Buy | +33,017 | $0.14 | $4.62K | 90,344 |
| Lloyd I. Miller Iii 10% owner | Sep 17, 2012 | Buy | +30,102 | $0.14 | $4.21K | 57,327 |
| Lloyd I. Miller Iii 10% owner | Sep 14, 2012 | Buy | +27,225 | $0.14 | $3.81K | 27,225 |
| Lloyd I. Miller Iii 10% owner | Sep 13, 2012 | Buy | +5,000 | $0.14 | $700 | 3,757,268 |
| Lloyd I. Miller Iii 10% owner | Sep 12, 2012 | Buy | +4,656 | $0.14 | $652 | 3,752,268 |
| Lloyd I. Miller Iii 10% owner | Sep 10, 2012 | Buy | +9 | $0.14 | $1 | 3,747,612 |
| Lloyd I. Miller Iii 10% owner | Sep 7, 2012 | Buy | +15,014 | $0.14 | $2.10K | 3,747,603 |
| Lloyd I. Miller Iii 10% owner | Sep 6, 2012 | Buy | +2,500 | $0.14 | $350 | 3,732,589 |
| Lloyd I. Miller Iii 10% owner | Sep 5, 2012 | Buy | +104 | $0.14 | $15 | 3,730,089 |
| Lloyd I. Miller Iii 10% owner | Aug 30, 2012 | Buy | +74,082 | $0.15 | $11.11K | 3,729,985 |
| Lloyd I. Miller Iii 10% owner | Aug 29, 2012 | Buy | +25,754 | $0.15 | $3.86K | 3,655,903 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of shares outstanding
3.13%
0M shares short
Days to cover
1.0
At 0M shares a day
Change since last report
-95.9%
From 1M shares
Short volume, 20 days
27.4%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Capstone's stock actually held short. Settlement fails (shares not delivered on time) peaked at 2,477,641 shares on Sep 23, 2026 over the last 90 days.
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