Last 12 months
Inside the activity.
0 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 07, 2026 Filed Aug 12, 2026 00:21 UTC |
FELDMAN FREDRIC JDirector
|
GrantCommon Stock | 105,124 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027123 · rdgdoc.xml · nonDerivative · entry 2 FELDMAN FREDRIC J · CIK 0001191704 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,124 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 00:21 UTC |
Grotke Kevin AllanPresident & CEO of TotalStone
|
GrantCommon Stock | 515,495 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027122 · rdgdoc.xml · nonDerivative · entry 1 Grotke Kevin Allan · CIK 0002146532 · President & CEO of TotalStone 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,041,597 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 515,495 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full on August 7, 2029, the third anniversary of the grant date, subject to the Reporting Person's continued service. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 00:21 UTC |
HOLLIMAN JOHN M IIIDirector
|
GrantCommon Stock | 305,248 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027121 · rdgdoc.xml · nonDerivative · entry 2 HOLLIMAN JOHN M III · CIK 0000938112 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 401,343 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 305,248 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 00:20 UTC |
HOWSE ELWOOD DDirector
|
GrantCommon Stock | 105,124 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027120 · rdgdoc.xml · nonDerivative · entry 2 HOWSE ELWOOD D · CIK 0001191706 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 200,124 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 00:20 UTC |
Lipman Matthew E.Director · Chief Executive Officer · 10% owner
|
GrantCommon Stock | 1,094,648 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027119 · rdgdoc.xml · nonDerivative · entry 1 Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,492,648 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 1,094,648 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full on August 7, 2029, the third anniversary of the grant date, subject to the Reporting Person's continued service. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 00:19 UTC |
SCHULTZ EDWARD CHRISTOPHERChief Financial Officer
|
GrantCommon Stock | 310,310 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027118 · rdgdoc.xml · nonDerivative · entry 1 SCHULTZ EDWARD CHRISTOPHER · CIK 0002065236 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 500,310 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 310,310 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full on August 7, 2029, the third anniversary of the grant date, subject to the Reporting Person's continued service. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 00:18 UTC |
TOPOREK MICHAELDirector
|
GrantCommon Stock | 1,094,647 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027116 · rdgdoc.xml · nonDerivative · entry 1 TOPOREK MICHAEL · CIK 0001243628 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,492,647 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 1,094,647 shares of common stock granted to the Reporting Person on August 7, 2026 as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| August 07, 2026 Filed Aug 12, 2026 00:19 UTC |
Strout Gordon Lewis JrDirector
|
GrantCommon Stock | 357,810 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027117 · rdgdoc.xml · nonDerivative · entry 4 Strout Gordon Lewis Jr · CIK 0002128514 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 541,810 F2 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 142,500 and 357,810 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| March 30, 2026 Filed Apr 1, 2026 22:42 UTC |
SCHULTZ EDWARD CHRISTOPHERChief Financial Officer
|
GrantRestricted Stock Award · Derivative | 190,000 | $0.65 Strike: $0.00 | $123,310.00 |
DisclosureSEC source: 0001213900-26-038703 · ownership.xml · derivative · entry 1 SCHULTZ EDWARD CHRISTOPHER · CIK 0002065236 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 190,000 Underlying: Common Stock · 190,000 shares Expires not disclosed F1 · security: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F1 · derivative.exercise_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F1 · derivative.expiration_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. Read SEC document |
| March 30, 2026 Filed Apr 1, 2026 22:41 UTC |
Lipman Matthew E.Director · Chief Executive Officer · 10% owner
|
GrantRestricted Stock Award · Derivative | 356,250 | $0.65 Strike: $0.00 | $231,206.25 |
DisclosureSEC source: 0001213900-26-038702 · ownership.xml · derivative · entry 1 Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 356,250 Underlying: Common Stock · 356,250 shares Expires not disclosed F1 · security: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F1 · derivative.exercise_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F1 · derivative.expiration_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. Read SEC document |
| March 30, 2026 Filed Apr 1, 2026 22:40 UTC |
TOPOREK MICHAELDirector
|
GrantRestricted Stock Award · Derivative | 356,250 | $0.65 Strike: $0.00 | $231,206.25 |
DisclosureSEC source: 0001213900-26-038701 · ownership.xml · derivative · entry 1 TOPOREK MICHAEL · CIK 0001243628 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 356,250 Underlying: Common Stock · 356,250 shares Expires not disclosed F1 · security: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F1 · derivative.exercise_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F1 · derivative.expiration_date: The RSUs vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. Read SEC document |
| March 30, 2026 Filed Jul 23, 2026 01:11 UTC Amendment |
Lipman Matthew E.Director · Chief Executive Officer · 10% owner
|
GrantCommon Stock | 356,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-024214 · rdgdoc.xml · nonDerivative · entry 1 Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,920,340 F1 · security: This Form 4/A is being filed solely to correct the nature of the shares reported as granted on April 1, 2026. This amendment reflects that the shares granted were shares of common stock, rather than restricted stock units. F2 · shares: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F2 · price: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F2 · balance_after: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F3 · balance_after: Excludes 121,774 shares controlled by the Reporting Person, through his control of BP Peptides, LLC. Read SEC document |
| March 30, 2026 Filed Jul 23, 2026 01:11 UTC Amendment |
SCHULTZ EDWARD CHRISTOPHERChief Financial Officer
|
GrantCommon Stock | 190,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-024213 · rdgdoc.xml · nonDerivative · entry 1 SCHULTZ EDWARD CHRISTOPHER · CIK 0002065236 · Chief Financial Officer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 190,000 F1 · security: This Form 4/A is being filed solely to correct the nature of the shares reported as granted on April 1, 2026. This amendment reflects that the shares granted were shares of common stock, rather than restricted stock units. F2 · shares: Including 190,000 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F2 · price: Including 190,000 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. F2 · balance_after: Including 190,000 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards vest in full on March 30, 2029, which is the third anniversary of the March 30, 2026 grant date, subject to the Reporting Person's continued service through such vesting date. Read SEC document |
| March 30, 2026 Filed Jul 24, 2026 20:28 UTC Amendment |
TOPOREK MICHAELDirector
|
GrantCommon Stock | 356,250 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-024418 · rdgdoc.xml · nonDerivative · entry 1 TOPOREK MICHAEL · CIK 0001243628 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 391,678 F1 · security: This Form 4/A is being filed solely to correct the nature of the shares and the vesting schedule reported as granted on April 1, 2026. This amendment reflects that the shares granted were shares of common stock, rather than restricted stock units, and corrects the vesting schedule of the shares granted. F2 · shares: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards will vest in full only upon the Reporting Person's death or disability, removal from the Board of Directors other than for Cause, or failure to be re-elected to the Board of Directors. If the Reporting Person voluntarily resigns from the Board of Directors before the applicable vesting event, the restricted stock awards will be forfeited. F2 · price: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards will vest in full only upon the Reporting Person's death or disability, removal from the Board of Directors other than for Cause, or failure to be re-elected to the Board of Directors. If the Reporting Person voluntarily resigns from the Board of Directors before the applicable vesting event, the restricted stock awards will be forfeited. F2 · balance_after: Including 356,250 shares of common stock granted to the Reporting Person on March 30, 2026 as restricted stock awards, for no consideration. The restricted stock awards will vest in full only upon the Reporting Person's death or disability, removal from the Board of Directors other than for Cause, or failure to be re-elected to the Board of Directors. If the Reporting Person voluntarily resigns from the Board of Directors before the applicable vesting event, the restricted stock awards will be forfeited. F3 · balance_after: Excludes 121,774 shares controlled by the Reporting Person, through his control of BP Peptides, LLC. Read SEC document |
| March 30, 2026 Filed Aug 12, 2026 00:21 UTC |
FELDMAN FREDRIC JDirector
|
GrantCommon Stock | 95,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027123 · rdgdoc.xml · nonDerivative · entry 1 FELDMAN FREDRIC J · CIK 0001191704 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,000 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| March 30, 2026 Filed Aug 12, 2026 00:21 UTC |
HOLLIMAN JOHN M IIIDirector
|
GrantCommon Stock | 95,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027121 · rdgdoc.xml · nonDerivative · entry 1 HOLLIMAN JOHN M III · CIK 0000938112 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,000 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 305,248 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| March 30, 2026 Filed Aug 12, 2026 00:20 UTC |
HOWSE ELWOOD DDirector
|
GrantCommon Stock | 95,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027120 · rdgdoc.xml · nonDerivative · entry 1 HOWSE ELWOOD D · CIK 0001191706 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 95,000 F1 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 95,000 and 105,124 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| March 30, 2026 Filed Aug 12, 2026 00:19 UTC |
Strout Gordon Lewis JrDirector
|
GrantCommon Stock | 142,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027117 · rdgdoc.xml · nonDerivative · entry 3 Strout Gordon Lewis Jr · CIK 0002128514 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 184,000 F2 · price: THE REPORTED SHARES ARE UNVESTED RESTRICTED STOCK AND MAY NOT BE SOLD, TRANSFERRED OR PLEDGED. Including 142,500 and 357,810 shares of common stock granted to the Reporting Person on March 30, 2026 and August 7, 2026, respectively, as restricted stock awards, for no consideration, under the Capstone Holding Corp. 2025 Stock Incentive Plan, as amended. The restricted stock awards will vest in full only upon the Reporting Person's Separation Date, as defined in the Reporting Person's Master Restricted Stock Agreement. Read SEC document |
| March 07, 2025 Filed Jul 23, 2026 01:12 UTC |
Lipman Matthew E.Director · Chief Executive Officer · 10% owner
|
PurchaseCommon Stock | 41,750 | $4.00 | $167,000.00 |
DisclosureSEC source: 0001437749-26-024215 · rdgdoc.xml · nonDerivative · entry 1 Lipman Matthew E. · CIK 0001687758 · Director · Chief Executive Officer · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,570,412 Read SEC document |
| March 07, 2025 Filed Jul 24, 2026 20:27 UTC |
TOPOREK MICHAELDirector
|
PurchaseCommon Stock | 41,750 | $4.00 | $167,000.00 |
DisclosureSEC source: 0001437749-26-024417 · rdgdoc.xml · nonDerivative · entry 1 TOPOREK MICHAEL · CIK 0001243628 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,750 Read SEC document |
| March 07, 2025 Filed Aug 12, 2026 00:19 UTC |
Strout Gordon Lewis JrDirector
|
PurchaseCommon Stock | 41,500 | $4.00 | $166,000.00 |
DisclosureSEC source: 0001437749-26-027117 · rdgdoc.xml · nonDerivative · entry 2 Strout Gordon Lewis Jr · CIK 0002128514 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,500 Read SEC document |
| March 07, 2025 Filed Aug 12, 2026 00:19 UTC |
Strout Gordon Lewis JrDirector
|
OtherCommon Stock | 822,128 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001437749-26-027117 · rdgdoc.xml · nonDerivative · entry 1 Strout Gordon Lewis Jr · CIK 0002128514 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By Gordon Rocks, Inc. Disclosed balance after: 822,128 F1 · price: On March 7, 2025, pursuant to a Master Exchange Agreement entered into among the Issuer, its operating subsidiary, TotalStone, LLC ("TotalStone"), and TotalStone's Class B and Class C Members, all of the Preferred Interests in TotalStone previously owned by the Reporting Person were exchanged for 822,128 shares of the Issuer's Common Stock. Read SEC document |
| December 21, 2018 Filed Dec 28, 2018 17:36 UTC |
SUBIN NEIL S10% owner
|
PurchaseCommon Stock | 103,000 | $0.05 | $5,356.00 |
DisclosureSEC source: 0001209191-18-064285 · doc4.xml · nonDerivative · entry 2 SUBIN NEIL S · CIK 0001201333 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By LIMFAM LLC Disclosed balance after: 727,100 F1 · kind: The reported transaction involved a sale of a total of 206,000 shares of Capstone Therapeutics Corp. ("Capstone") common stock by MBM - Trust A-4, which were acquired by LIMFAM LLC and another private purchaser at a privately negotiated price equal to $0.052 per share. The reporting person may be deemed to have voting and dispositive control over shares held by MBM - Trust A-4 and LIMFAM LLC. F2 · kind: The reporting person believes that the reported transaction constitutes a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Act pursuant to Rule 16a-13. F3 · balance_after: Except for possessing voting and dispositive power, the reporting person disclaims any other beneficial ownership of, and specifically any pecuniary interest in, the securities reported herein. This filing is not, and shall not be deemed, an admission (and the reporting person expressly disclaims) that the reporting person is, for purposes of Rule 16a-1(a)(2) under Section 16 of the Securities Exchange Act of 1934, the beneficial owner of any equity securities covered by this filing. F4 · balance_after: The reporting person succeeded to the position of President and Manager of MILFAM LLC, which serves as manager, general partner, or investment advisor of a number of entities formerly managed or advised by the late Lloyd I. Miller, III. The reporting person also serves as trustee of a number of Miller family trusts. Read SEC document |
| December 21, 2018 Filed Dec 28, 2018 17:36 UTC |
SUBIN NEIL S10% owner
|
SaleCommon Stock | 206,000 | $0.05 | $10,712.00 |
DisclosureSEC source: 0001209191-18-064285 · doc4.xml · nonDerivative · entry 1 SUBIN NEIL S · CIK 0001201333 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By MBM - Trust A-4 Disclosed balance after: 2,708,484 F1 · kind: The reported transaction involved a sale of a total of 206,000 shares of Capstone Therapeutics Corp. ("Capstone") common stock by MBM - Trust A-4, which were acquired by LIMFAM LLC and another private purchaser at a privately negotiated price equal to $0.052 per share. The reporting person may be deemed to have voting and dispositive control over shares held by MBM - Trust A-4 and LIMFAM LLC. F2 · kind: The reporting person believes that the reported transaction constitutes a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Act pursuant to Rule 16a-13. F3 · balance_after: Except for possessing voting and dispositive power, the reporting person disclaims any other beneficial ownership of, and specifically any pecuniary interest in, the securities reported herein. This filing is not, and shall not be deemed, an admission (and the reporting person expressly disclaims) that the reporting person is, for purposes of Rule 16a-1(a)(2) under Section 16 of the Securities Exchange Act of 1934, the beneficial owner of any equity securities covered by this filing. F4 · balance_after: The reporting person succeeded to the position of President and Manager of MILFAM LLC, which serves as manager, general partner, or investment advisor of a number of entities formerly managed or advised by the late Lloyd I. Miller, III. The reporting person also serves as trustee of a number of Miller family trusts. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 23:00 UTC |
Lipman Matthew E.Director · 10% owner
BP Peptides, LLCDirector · 10% owner
|
OtherWarrant (Right to Buy) · Derivative | 1 | Not disclosed Strike: $0.08 | Not disclosed |
DisclosureSEC source: 0000921895-18-000366 · form410959006_02012018.xml · derivative · entry 2 Lipman Matthew E. · CIK 0001687758 · Director · 10% owner BP Peptides, LLC · CIK 0001711689 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: BP Peptides, LLC Disclosed balance after: 1 Underlying: Common Stock, $0.0005 par value · 6,321,930 shares Expires 2025-10-15 F1 · security: This Form 4 is filed jointly by BP Peptides, LLC ("BP Peptides") and Matthew E. Lipman (collectively, the "Reporting Persons"). Mr. Lipman is a director of the Issuer. BP Peptides may be deemed to be a director by deputization by virtue of the fact that Mr. Lipman, the Manager and President of BP Peptides, is a director of the Issuer. F3 · kind: The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan. F3 · price: The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan. F3 · derivative.exercise_date: The Warrant was issued by the Issuer to BP Peptides in consideration of BP Peptides' agreement to defer all accrued but unpaid interest due under its loan to the Issuer until October 15, 2020 (the "Maturity Date"). The Warrant vests quarterly in accordance with Schedule 1 thereto and will be fully vested on the Maturity Date; provided, however, that in the event of a Deferred Interest Repayment (as defined in the Warrant), then all vesting shall immediately terminate and lapse as to any Warrant shares that have not yet vested and none of such Warrant shares shall become vested. In no event may the Warrant be exercised if and to the extent that such exercise would be inconsistent with or constitute a violation of the Issuer's Tax Benefit Preservation Plan. F2 · ownership.nature: Represents securities owned directly by BP Peptides. As the Manager and President of BP Peptides, Mr. Lipman may be deemed to beneficially own the securities owned directly by BP Peptides. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein. Read SEC document |
| October 05, 2017 Filed Oct 10, 2017 19:00 UTC |
MILLER LLOYD I III10% owner
|
SaleCommon Stock | 100,000 | $0.06 | $6,000.00 |
DisclosureSEC source: 0001209191-17-056389 · doc4.xml · nonDerivative · entry 1 MILLER LLOYD I III · CIK 0000949119 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By LIMFAM LLC Disclosed balance after: 624,100 F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this filing. Read SEC document |
| July 14, 2017 Filed Jul 18, 2017 23:59 UTC |
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF INVESTMENTS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
|
SaleCommon Stock, $0.0005 par value | 105,713 | $0.06 | $6,342.78 |
DisclosureSEC source: 0000921895-17-001936 · form407422010_07182017.xml · nonDerivative · entry 3 BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses BVF INVESTMENTS LLC · CIK 0001132245 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · See Explanation of Responses LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Biotechnology Value Fund II, L.P. Disclosed balance after: 890,487 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), BVF Investments, L.L.C. ("BVFLLC"), BVF Partners L.P. ("Partners"), BVF Inc., and Mark Lampert (collectively the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13G group that no longer owns more than 10% of the Issuer's outstanding shares of Common Stock pursuant to Rule 16a-1(a)(1). Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F6 · kind: On the Transaction Date, the Reporting Persons entered into and consummated a private sale with an entity that is unaffiliated with the Reporting Persons. F5 · ownership.direct: Shares of Common Stock owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF2. Read SEC document |
| July 14, 2017 Filed Jul 18, 2017 23:59 UTC |
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF INVESTMENTS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
|
SaleCommon Stock, $0.0005 par value | 242,236 | $0.06 | $14,534.16 |
DisclosureSEC source: 0000921895-17-001936 · form407422010_07182017.xml · nonDerivative · entry 2 BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses BVF INVESTMENTS LLC · CIK 0001132245 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · See Explanation of Responses LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Biotechnology Value Fund, L.P. Disclosed balance after: 1,377,652 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), BVF Investments, L.L.C. ("BVFLLC"), BVF Partners L.P. ("Partners"), BVF Inc., and Mark Lampert (collectively the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13G group that no longer owns more than 10% of the Issuer's outstanding shares of Common Stock pursuant to Rule 16a-1(a)(1). Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F6 · kind: On the Transaction Date, the Reporting Persons entered into and consummated a private sale with an entity that is unaffiliated with the Reporting Persons. F4 · ownership.direct: Shares of Common Stock owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVF. Read SEC document |
| July 14, 2017 Filed Jul 18, 2017 23:59 UTC |
BVF PARTNERS L P/ILSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND L PSee Explanation of Responses
BIOTECHNOLOGY VALUE FUND II LPSee Explanation of Responses
BVF INVESTMENTS LLCSee Explanation of Responses
BVF INC/ILSee Explanation of Responses
LAMPERT MARK NSee Explanation of Responses
|
SaleCommon Stock, $0.0005 par value | 3,993,637 | $0.06 | $239,618.22 |
DisclosureSEC source: 0000921895-17-001936 · form407422010_07182017.xml · nonDerivative · entry 1 BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses BVF INVESTMENTS LLC · CIK 0001132245 · See Explanation of Responses BVF INC/IL · CIK 0001056807 · See Explanation of Responses LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By BVF Investments, L.L.C. Disclosed balance after: 0 F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), BVF Investments, L.L.C. ("BVFLLC"), BVF Partners L.P. ("Partners"), BVF Inc., and Mark Lampert (collectively the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13G group that no longer owns more than 10% of the Issuer's outstanding shares of Common Stock pursuant to Rule 16a-1(a)(1). Each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein. F6 · kind: On the Transaction Date, the Reporting Persons entered into and consummated a private sale with an entity that is unaffiliated with the Reporting Persons. F2 · ownership.direct: Shares of Common Stock owned directly by BVFLLC. As the manager of BVFLLC, Partners may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the shares of Common Stock owned directly by BVFLLC. F3 · ownership.nature: Pursuant to the operating agreement of BVFLLC, Partners is authorized, among other things, to invest the contributed capital of Samana Capital, L.P., the majority member of BVFLLC, in the Common Stock and other securities of the Issuer and to vote, exercise or convert and dispose of such securities and is entitled to receive fees based on assets under management and, subject to certain exceptions, allocations based on realized and unrealized gains on such assets. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 22:00 UTC |
TAEGER LESLIE MSVP Chief Financial Officer
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PurchaseCommon Stock | 50,000 | $0.07 | $3,500.00 |
DisclosureSEC source: 0001171843-17-000130 · formfour.xml · nonDerivative · entry 1 TAEGER LESLIE M · CIK 0001257174 · SVP Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,574 Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 19:30 UTC |
MILLER LLOYD I III10% owner
|
SaleCommon Stock | 38,967 | $0.04 | $1,558.68 |
DisclosureSEC source: 0001209191-16-155829 · doc4.xml · nonDerivative · entry 1 MILLER LLOYD I III · CIK 0000949119 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| December 15, 2016 Filed Dec 16, 2016 19:14 UTC |
MILLER LLOYD I III10% owner
|
SaleCommon Stock | 20,000 | $0.04 | $800.00 |
DisclosureSEC source: 0001209191-16-155593 · doc4.xml · nonDerivative · entry 1 MILLER LLOYD I III · CIK 0000949119 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,967 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 16:47 UTC |
HOWSE ELWOOD DDirector
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GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $0.05 | $0.00 |
DisclosureSEC source: 0001171843-16-013194 · formfour.xml · derivative · entry 1 HOWSE ELWOOD D · CIK 0001191706 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,500 Underlying: Common Stock · 40,000 shares Expires 2026-11-10 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 16:47 UTC |
FELDMAN FREDRIC JDirector
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GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $0.05 | $0.00 |
DisclosureSEC source: 0001171843-16-013193 · formfour.xml · derivative · entry 1 FELDMAN FREDRIC J · CIK 0001191704 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 421,500 Underlying: Common Stock · 40,000 shares Expires 2026-11-10 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.