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BCS

Notice of Effectiveness · EFFECT

Capstone Holding Corp.

CAPSNASDAQEQUITYCurrent

Notice of Effectiveness

Filed Nov 10, 2026Accepted Nov 12, 2026, 12:15 AM ESTFiling CIK 887151Accession 9999999995-26-003510
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Structured filing — EFFECT

primary_doc.xml

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Notice details

Submission type
EFFECT
Act
33

Effectiveness

Effective date
2026-11-10
Effective time (as filed)
16:30:00
Form
S-1

Registrant 1

Registrant
Capstone Holding Corp.
Registrant CIK
0000887151
File number
333-299746

Company context

We are an “emerging growth company” as defined in Jumpstart Our Business Startups Act of 2012 (the “JOBS Act”). As an emerging growth company, we are eligible to take advantage of certain exemptions from various reporting requirements that are applicable to other public companies that are not emerging growth companies, including, but not limited to: (1) presenting only two years of audited financial statements in addition to any required unaudited interim financial statements with correspondingly reduced “Management’s Discussion and Analysis of Financial Condition and Results of Operations” disclosure in this prospectus; (2) not being required to comply with the auditor attestation requirements of Section 404 of the Sarbanes-Oxley Act of 2002 (the “Sarbanes-Oxley Act”); (3) having reduced disclosure obligations regarding executive compensation; (4) being exempt from the requirements to hold a non-binding advisory vote on executive compensation or to seek stockholder approval of any golden parachute payments not previously approved; and (5) not being required to adopt certain accounting standards applicable to public companies until those standards would otherwise apply to private companies.

Current securities

Historical securities (3)

Recent company filings

  1. Results of Operations and Financial Condition · Regulation FD DisclosureNov 12, 2026
  2. 10-Q filingNov 12, 2026
  3. Entry into a Material Definitive Agreement · Regulation FD DisclosureNov 9, 2026
  4. S-1 filingOct 30, 2026
  5. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year · Regulation FD DisclosureOct 21, 2026

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