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CAPS SCHEDULE 13G/A: SEC filing

3i, LP and affiliated reporting persons

Filed with the SEC on · accession 0001104659-26-126221

CAPS filed a SCHEDULE 13G/A (schedule 13g/a) with the SEC on Nov 12, 2026. A report the company filed with the SEC (the US market regulator). The stock moved -11.6% by the first close after the filing.

Summary of the filing

3i, LP and affiliated reporting persons filed an amended Schedule 13G disclosing beneficial ownership of approximately 9.9% of Capstone Holding Corp.'s common stock, primarily through convertible notes subject to a 9.99% ownership blocker, following the issuer's 1-for-30 reverse stock split.

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Key details

Principal aggregate amount of senior secured convertible notes held by 3i, LP$1.0M
Shares of common stock issuable upon conversion of notes (subject to 9.99% blocker)$98K
Shares of common stock directly held by Tumim Stone Capital LLC$3K
Reporting person / holder of senior secured convertible notes and beneficial owner of shares3i, LP
Reporting person / direct holder of common stockTumim Stone Capital LLC
General partner of 3i, lp and manager of tumim stone capital llc3i Management LLC
IssuerCapstone Holding Corp.
Manager of 3i management llcMaier Joshua Tarlow

How CAPS stock reacted

Close before

$1.99

Nov 11, 2026

First close after

-11.56%

$1.76

5 trading days

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Since filing

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Frequently asked questions

What did CAPS file with the SEC on Nov 12, 2026?

CAPS filed a SCHEDULE 13G/A (SEC filing). 3i, LP and affiliated reporting persons filed an amended Schedule 13G disclosing beneficial ownership of approximately 9.9% of Capstone Holding Corp.'s common stock, primarily through convertible notes subject to a 9.99% ownership blocker, following the issuer's 1-for-30 reverse stock split.

How do I read a SCHEDULE 13G/A?

A report the company filed with the SEC (the US market regulator). Start with the summary, then the key amounts and names. Compare it with the company’s earlier filings.

Why are SEC filings important?

Public companies must tell the SEC about anything that can change their value — results, leadership changes, big deals, new shares, bankruptcy. Filings are the official source, often before the news. A SCHEDULE 13G/A (schedule 13g/a): A report the company filed with the SEC (the US market regulator).

How did CAPS stock react to this filing?

CAPS closed at $1.99 before the filing and $1.76 on Nov 12, 2026 (-11.56%).

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