Capstone Holding Corp.: shareholders and insiders

CAPSNASDAQConsumer cyclical · Wholesale-Lumber & Other Construction Materials

Price

$1.74

November 13, 2026Market cap $1.6M

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What Ploutos Investor adds for Capstone

Part of Ploutos Investor, €9.99 a month

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The full history: 5 fiscal years, from 2017
The estimated fair value, with its range and its certainty
The full analysis, 18 a month
More questions to the chat on its filings
Excel with every year
An email when it reports, changes its dividend or an officer buys

Notes on these figures

The interest the company pays is far more than the debt we can read would cost, so part of its borrowing is missing from the figures. We leave out the debt, net cash, enterprise value and the multiples built on them.

Insiders and their shares

Purchases and sales by officers and directors from Nov 15, 2025 to Aug 11, 2026, from their own Form 4 filings.

10 Form 4s

Bought on the market

–

nobody

Sold on the market

–

nobody

From Nov 15, 2025 to Nov 15, 2026, the days the chart shows. Change its range and the figures follow.

How the sales were made, as a share of their value

No sales in the period.

No trades under these filters.

From the Form 4s insiders file with the SEC within two business days of each trade.

Insiders and their shares

Every buy and sale by CAPS's officers and directors from 2006 up to November 14, 2025, 20 more calendar years

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Major holders (over 5%)

Whoever comes to own more than 5% of a class of shares reports it to the SEC on Schedule 13D or 13G. Here is each holder's latest filing.

2 Holders over 5%Nov 12, 2026 Latest filing

3i, LPwith 3 more persons
Share of class9.90%
3i, LPwith 3 more persons
Share of class9.90%

Holder	Kind of stake	Share of class	Shares	Filed	Filing
3i, LPwith 3 more persons		9.90%	1.27M	Apr 23, 2026	13G
3i, LPwith 3 more persons		9.90%	97.6K	Nov 12, 2026	13G/A

From the Schedule 13D and 13G filed with the SEC since Dec 18, 2024, when they became structured data. A holder who has filed nothing since then is not shown here. A 13D is updated within two business days of any material change, a 13G up to 45 days after the quarter of the change, so the shares are those of the filing. The large managers also appear in the 13Fs.

Well-known managers

Which of the about 30 investment managers we track held the shares at the quarter end, and what they changed from the quarter before.

No well-known manager

None of the managers we track held Capstone shares in their latest 13F.

From the 13Fs managers file with the SEC up to 45 days after each quarter end. They show only long positions on that day, not short sales or what has changed since. No recent 13F: Pershing Square (Ackman), Scion (Burry).

Short interest

How many of the company's shares have been sold borrowed and not yet bought back, twice a month.

On Oct 15, 2026, 74.5% of its shares outstanding were held short, -65.6% since the report before.

Shares held short: 696.4K
: 74.5%
Since the report before2.03M on Sep 30, 2026: -65.6%
: under 1
: 1.18M
More days to cover thanof 4,578 US-listed companies with enough volume: 13%
Report date: Oct 15, 2026

As brokers report them to the regulator twice a month, mid-month and at month end, published about eight business days later. A short position is shares sold borrowed and not yet bought back. The share count is the one the company's market value is figured on, from its filings. Days to cover is the shares held short over the average daily volume of the weeks between two reports.

Short sales in daily trading43.3% of the shares in the last 14 sessions' reported trades were short sales.

In the last 14 sessions, 43.3% of the shares in the reported trades were short sales, against 24.9% in the 14 before.

Last 14 sessionsOct 27, 2026 – Nov 13, 2026: 43.3%
The 14 beforeOct 7, 2026 – Oct 26, 2026: 24.9%
Change: +18.4 pts
Short sales a dayon average, of 18.3K shares: 7,934
More than atof 3,649 US-listed companies, same days: 28%
Median of alleight in ten from 34.6% to 63.4%: 50.1%

This is not the number of shares sold short today: it measures short sales within each day's trading, and only trades made off the exchanges. Much of it is market makers, who sell shares they do not have to fill buyers' orders and cover soon after, so for a heavily traded stock the share is often around half.

What the insiders hold

The shares each insider reports holding after their latest trade (Form 4), for those who traded on the market in the last three years.

6.69M Insiders' shares58.43% Of the company

Matthew E. LipmanChief Executive Officer
Directly1.49M
Michael ToporekDirector
Directly1.49M
Gordon Lewis Strout JrDirector
Directly1.36M
Kevin Allan GrotkePresident & CEO of TotalStone
Directly1.04M
Edward Christopher SchultzChief Financial Officer
Directly500.3K
John M Holliman IiiDirector
Directly401.3K
Fredric J FeldmanDirector
Directly200.1K
Elwood D HowseDirector
Directly200.1K

Person	Directly	Indirectly	After the trade of	Filing
Matthew E. LipmanChief Executive Officer	1.49M	–	Aug 7, 2026	Form 4
Michael ToporekDirector	1.49M	–	Aug 7, 2026	Form 4
Gordon Lewis Strout JrDirector	1.36M	–	Aug 7, 2026	Form 4
Kevin Allan GrotkePresident & CEO of TotalStone	1.04M	–	Aug 7, 2026	Form 4
Edward Christopher SchultzChief Financial Officer	500.3K	–	Aug 7, 2026	Form 4
John M Holliman IiiDirector	401.3K	–	Aug 7, 2026	Form 4
Fredric J FeldmanDirector	200.1K	–	Aug 7, 2026	Form 4
Elwood D HowseDirector	200.1K	–	Aug 7, 2026	Form 4

A lower bound: it counts only the 8 officers and directors with a market trade since Nov 16, 2023. Anyone who neither bought nor sold since is not here, whatever they hold. The share is against the share count on the latest 10-K's cover.

Institutional investors by quarter

Every manager that reports positions to the SEC (Form 13F), quarter by quarter: how many hold the stock, how many shares and dollars between them, and who entered, left, added or trimmed during the quarter.

9 Managers, Q2 2026$55.8K Value of their positions

Institutional investors by quarter

The fund managers holding CAPS, quarter by quarter, from Q2 2013 to Q2 2025, 30 more quarters

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Q2 2026: 9 managers held 208.2K shares, worth $55.8K. During the quarter 7 opened a position, 5 closed one, 0 added and 1 trimmed.

The largest holders, Q2 2026

Geode Capital Management
In the quarter-0.3%
Jane Street Group
In the quarter
StoneX Group
In the quarter
Hrt Financial
In the quarter
Goldman Sachs Group
In the quarter
Northern Trust
In the quarter
Ground Swell Capital
In the quarter
Barclays
In the quarter
Kerr Financial Planning
In the quarter

Manager	Shares	In the quarter	Value
Geode Capital Management	61.5K	-0.3%	$15.6K
Jane Street Group	46.8K		$11.9K
StoneX Group	39.5K		$12.8K
Hrt Financial	22.0K		$5.0K
Goldman Sachs Group	15.9K		$4.0K
Northern Trust	11.0K		$2.8K
Ground Swell Capital	10.4K		$2.7K
Barclays	1,123		$285
Kerr Financial Planning	75		$690

From the SEC's Form 13F data sets, Q3 2025 to Q2 2026: the long positions of every manager with more than $100 million under management, as filed up to 45 days after each quarter end. Short positions and options are not in them. Shares as reported each quarter, not adjusted for splits. The stock is matched by its CUSIP, through the SEC's fails-to-deliver files.

Pay against performance, the say-on-pay vote, buybacks by quarter and trading plans are read for S&P 500 companies only.

The full analysis

What do Capstone's filings show?

Who buys and sells is one part of Capstone's picture. The full Ploutos AI analysis reads everything the company has filed and shows what stands behind it, with a source for every figure.

A fair value range built from the filings
Earnings quality, debt and red flags
Insider and institutional moves
The case for and the case against

Questions about CAPS's shareholders

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Have CAPS's insiders bought or sold?

From Jul 22, 2026 to Aug 11, 2026 Capstone's insiders bought $500.0K and sold 0 of shares on the market. – of the sales were under set 10b5-1 plans.

Is every insider transaction a purchase or a sale?

No. Many are part of their pay: share awards, option exercises and shares the company keeps for the tax. Only code P is a purchase with their own money, and code S a sale on the market.

The other pages on US stocks, free to read. On the company pages, the last three fiscal years are open to everyone, five with a free account, and every year with Ploutos Investor.

US stocksThe market today, the sectors, the largest companies and the week's results.The market's sectorsThe 11 sectors side by side: returns, share of the market, median P/E and dividend.Compare stocksTwo companies side by side: price over up to ten years, with and without dividends, and every figure.US dividend stocksEach dividend's yield next to whether the company's cash covers it and whether it was ever cut.

The figures come from the company's SEC filings and the share price, and describe what it has reported. They are not a score or a fair value.