Netcapital Inc. (NCPL) shareholders
Close on Nov 13, 2026Market cap $12.87MP/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
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 |
|---|---|---|---|---|
| Rivetz Corp. | 950,000 | 12.10% | 13G (passive) | Dec 3, 2025 |
| Maier Joshua Tarlow Joint filing with 3i, LP (7.00%), 3i Management LLC (7.00%) | 518,889 | 7.00% | 13G (passive) amendment | Dec 31, 2025 |
| 3i, LP Joint filing with 3i Management LLC (6.10%), Maier Joshua Tarlow (6.10%) | 505,935 | 6.10% | 13G (passive) amendment | Mar 31, 2026 |
| Mitchell P. Kopin Joint filing with Daniel B. Asher (9.30%), Intracoastal Capital LLC (9.30%) | 501,781 | 9.30% | 13G (passive) amendment | Sep 30, 2025 |
| GlobexUS Holdings, Corp. | 500,000 | 10.17% | 13G (passive) | Jun 26, 2025 |
| Jane Street Group, LLC | 420,473 | 5.40% | 13G (passive) | Oct 9, 2026 |
| Strategic EP, LLC Joint filing with Alexander Chase Deitch (6.90%) | 338,695 | 6.90% | 13D (active) amendment | Dec 2, 2025 |
| Daniel B. Asher Joint filing with Mitchell P. Kopin (7.10%), Intracoastal Capital LLC (7.10%) | 287,877 | 7.10% | 13G (passive) | Jul 2, 2025 |
| Lind Global Partners II LLC Joint filing with Lind Global Fund II LP (9.90%), Easton Jeff (9.90%) | 202,500 | 9.90% | 13G (passive) amendment | Dec 31, 2024 |
| Jon S. Wheeler Joint filing with Resurgent Realty, Inc. (5.00%) | 29,000 | 5.00% | 13D (active) | Aug 9, 2024 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of NCPL | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Hrt Financial LP | 103,850 | – | $55.00K | New | 0.00% |
| Citadel Advisors LLC | 54,283 | – | $29.11K | +15,723 | 0.00% |
| Virtu Financial LLC | 42,693 | – | $23.00K | New | 0.00% |
| Geode Capital Management, LLC | 37,439 | – | $20.07K | −34,775 | 0.00% |
| Vanguard Fiduciary Trust Co | 30,749 | – | $16.48K | – | 0.00% |
| Jane Street Group, LLC | 29,293 | – | $15.71K | New | 0.00% |
| Vanguard Capital Management LLC | 20,590 | – | $11.04K | – | 0.00% |
| LPL Financial LLC | 10,000 | – | $5.36K | – | 0.00% |
| Morgan Stanley | 3,003 | – | $1.61K | – | 0.00% |
| Tower Research Capital LLC (TRC) | 2,602 | – | $1.40K | −1,432 | 0.00% |
| Larson Financial Group LLC | 667 | – | $358 | −1,287 | 0.00% |
| Deutsche Bank AG\ | 1 | – | $1 | – | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 12 | 0M | 3 / 1 | 3 / 2 | 0M | 0M |
| Q1 2026 | 11 | 0M | 3 / 1 | 5 / 3 | 0M | 0M |
| Q4 2025 | 12 | 0M | 3 / 2 | 2 / 2 | 0M | 0M |
| Q3 2025 | 11 | 0M | 4 / 6 | 0 / 2 | 0M | 0M |
| Q2 2025 | 9 | 0M | 4 / 2 | 1 / 0 | 0M | 0M |
| Q1 2025 | 5 | 0M | 1 / 1 | 1 / 2 | 0M | 0M |
| Q4 2024 | 6 | 0M | 0 / 2 | 2 / 1 | 0M | 0M |
| Q3 2024 | 7 | 0M | 7 / 0 | 0 / 0 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
4 funds held NCPL in Q2 2026, 23% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of NCPL | Value | % of fund | As of |
|---|---|---|---|---|---|
| Fidelity Extended Market Index Fund | 61,450 | – | $67.60K | 0.00% | May 31, 2026 |
| Vanguard Extended Market Index Fund | 20,590 | – | $11.04K | 0.00% | Jun 30, 2026 |
| Fidelity Total Market Index Fund | 4,646 | – | $5.11K | 0.00% | May 31, 2026 |
| Fidelity Series Total Market Index Fund | 3,175 | – | $3.49K | 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 | Latest filing |
|---|---|---|---|
| Todd A. Violette | CEO | – | Jun 8, 2026 |
| Holdings Corp. GlobexUS | 10% owner | 500,000 | Dec 8, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Steven F. Geary Director | Apr 24, 2024 | Buy | +239,274 | $0.13 | $31.11K | 249,574 |
| Coreen Sarah Kraysler CFO | Sep 9, 2019 | Award | +25,000,000 | $0.01 | $250.00K | 45,000,000 |
| Cecilia Lenk CEO, Chair of Board, Director | Sep 9, 2019 | Award | +25,000,000 | $0.01 | $250.00K | 45,000,000 |
| Coreen Sarah Kraysler CFO | Sep 9, 2019 | Buy | +25,000,000 | $0.01 | $250.00K | 45,000,000 |
| Cecilia Lenk CEO, Chair of Board, Director | Sep 9, 2019 | Buy | +25,000,000 | $0.01 | $250.00K | 45,000,000 |
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)
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 Netcapital's stock actually held short. Settlement fails (shares not delivered on time) peaked at 1,457,397 shares on Aug 26, 2026 over the last 90 days.
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