SCHEDULE: Capstone Holding Corp. Stakeholder Filing

Multiple entities and an individual have jointly filed a Schedule 13G, reporting beneficial ownership of Capstone Holding Corp. common stock.

Summary

• This filing is a Schedule 13G, indicating that 3i, LP, Tumim Stone Capital LLC, 3i Management LLC, and Maier Joshua Tarlow are reporting their beneficial ownership of Capstone Holding Corp. common stock.
• The reporting persons have entered into a joint filing agreement.
• The total outstanding shares of Capstone Holding Corp. common stock as of April 15, 2026, were 11,453,707.
• 3i, LP beneficially owns 1,271,220 shares, representing 9.99% of the class.
• Tumim Stone Capital LLC beneficially owns 47,800 shares, representing 0.42% of the class.
• 3i Management LLC beneficially owns 1,265,915 shares, representing 9.99% of the class.
• Maier Joshua Tarlow beneficially owns 1,265,915 shares, representing 9.99% of the class.
• The beneficial ownership for 3i, LP and 3i Management LLC includes shares issuable upon exercise of warrants and conversion of senior secured convertible notes, subject to beneficial ownership limitations (4.99% for warrants, 9.99% for notes).
• Maier Joshua Tarlow, as manager of 3i Management LLC, has shared power to vote and dispose of the shares held by 3i, LP, Tumim Stone Capital LLC, and 3i Management LLC.

Sentiment

Score: 5

Explanation: StockSavvy.ai views this as a neutral filing, as it is a routine disclosure of beneficial ownership and does not contain operational or financial performance updates.

Risks

• The beneficial ownership limitations (4.99% for warrants and 9.99% for convertible notes) may restrict the ability of 3i, LP and its affiliates to exercise warrants or convert notes, potentially limiting their future stake in the company.
• The filing indicates a recent notice to increase the beneficial ownership blockers on the convertible notes from 4.99% to 9.99%, effective 61 days after April 21, 2026.

Future Outlook

The filing does not contain forward-looking statements or guidance. It primarily reports current beneficial ownership and related limitations.

Management Comments

• The Reporting Persons have entered into a Joint Filing Agreement, filed as Exhibit 1, pursuant to which such Reporting Persons have agreed to file this Schedule 13G and all subsequent amendments jointly.
• The filing of this Schedule 13G should not be construed in and of itself as an admission by any Reporting Person as to beneficial ownership of the shares of Common Stock reported herein.
• By reason of the provisions of Rule 13d-3 of the Act, Mr. Tarlow may be deemed to beneficially own the Shares beneficially owned by 3i, Tumim and 3i Management, and 3i Management may be deemed to beneficially own the Shares beneficially owned by 3i and Tumim.

Industry Context

StockSavvy.ai notes that Schedule 13G filings are standard disclosures for institutional investors and significant shareholders exceeding certain ownership thresholds, providing transparency on holdings and potential influence.

Stakeholder Impact

• Shareholders: Increased transparency regarding significant beneficial ownership of Capstone Holding Corp. stock.
• Management: Awareness of the ownership stakes and potential influence of the reporting persons.

Next Steps

• The reporting persons will file amendments to this Schedule 13G as required.

Key Dates

Keywords

Schedule 13G, Beneficial Ownership, Capstone Holding Corp., 3i, LP, Tumim Stone Capital LLC, 3i Management LLC, Maier Joshua Tarlow, Warrants, Convertible Notes, SEC Filing