<SEC-DOCUMENT>0001213900-24-114111-index.html : 20241231 <SEC-HEADER>0001213900-24-114111.hdr.sgml : 20241231 <ACCEPTANCE-DATETIME>20241231171234 ACCESSION NUMBER: 0001213900-24-114111 CONFORMED SUBMISSION TYPE: S-1 PUBLIC DOCUMENT COUNT: 35 FILED AS OF DATE: 20241231 DATE AS OF CHANGE: 20241231 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Capstone Holding Corp. CENTRAL INDEX KEY: 0000887151 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-LUMBER & OTHER CONSTRUCTION MATERIALS [5030] ORGANIZATION NAME: 07 Trade & Services IRS NUMBER: 860585310 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: S-1 SEC ACT: 1933 Act SEC FILE NUMBER: 333-284105 FILM NUMBER: 241593724 BUSINESS ADDRESS: STREET 1: 5141 W. 122ND STREET CITY: ALSIP STATE: IL ZIP: 60803 BUSINESS PHONE: 7083710660 MAIL ADDRESS: STREET 1: 5141 W. 122ND STREET CITY: ALSIP STATE: IL ZIP: 60803 FORMER COMPANY: FORMER CONFORMED NAME: Capstone Therapeutics Corp. DATE OF NAME CHANGE: 20100521 FORMER COMPANY: FORMER CONFORMED NAME: ORTHOLOGIC CORP DATE OF NAME CHANGE: 19940211 </SEC-HEADER> <DOCUMENT> <TYPE>S-1 <SEQUENCE>1 <FILENAME>ea0214433-04.htm <DESCRIPTION>REGISTRATION STATEMENT <TEXT> Document 1 - file: ea0214433-04.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.1 <SEQUENCE>2 <FILENAME>ea021443304ex3-1_capst.htm <DESCRIPTION>RESTATED CERTIFICATE OF INCORPORATION, DATED APRIL 22, 2005, AS AMENDED ON MAY 21, 2010, JUNE 22, 2015, AUGUST 22, 2019, FEBRUARY 10, 2021, AND FEBRUARY 18, 2022 <TEXT> Document 2 - file: ea021443304ex3-1_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.3 <SEQUENCE>3 <FILENAME>ea021443304ex3-3_capst.htm <DESCRIPTION>AMENDED AND RESTATED CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK, DATED JUNE 22, 2015 <TEXT> Document 3 - file: ea021443304ex3-3_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.4 <SEQUENCE>4 <FILENAME>ea021443304ex3-4_capst.htm <DESCRIPTION>CERTIFICATE OF DESIGNATION OF SERIES B CONVERTIBLE PREFERRED STOCK, DATED JULY 9, 1998 <TEXT> Document 4 - file: ea021443304ex3-4_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.2 <SEQUENCE>5 <FILENAME>ea021443304ex4-2_capst.htm <DESCRIPTION>AMENDED AND RESTATED WARRANT TO PURCHASE COMMON STOCK, DATED MARCH 20, 2020, ISSUED TO BP PEPTIDES, LLC <TEXT> Document 5 - file: ea021443304ex4-2_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.6 <SEQUENCE>6 <FILENAME>ea021443304ex10-6_capst.htm <DESCRIPTION>THIRD AMENDMENT TO SECURITIES PURCHASE LOAN AND SECURITY AGREEMENT DATED MARCH 27, 2020, BY AND BETWEEN CAPSTONE THERAPEUTICS, CORP. AND BP PEPTIDES, LLC <TEXT> Document 6 - file: ea021443304ex10-6_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.7 <SEQUENCE>7 <FILENAME>ea021443304ex10-7_capst.htm <DESCRIPTION>FOURTH AMENDMENT TO SECURITIES PURCHASE LOAN AND SECURITY AGREEMENT DATED MARCH 15, 2021, BY AND BETWEEN CAPSTONE THERAPEUTICS, CORP. AND BP PEPTIDES, LLC <TEXT> Document 7 - file: ea021443304ex10-7_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.8 <SEQUENCE>8 <FILENAME>ea021443304ex10-8_capst.htm <DESCRIPTION>TERMINATION OF SECURITIES PURCHASE, LOAN AND SECURITY AGREEMENT, DATED NOVEMBER 13, 2024, BY AND BETWEEN CAPSTONE HOLDING CORP. AND BP PEPTIDES, LLC <TEXT> Document 8 - file: ea021443304ex10-8_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.10 <SEQUENCE>9 <FILENAME>ea021443304ex10-10_capst.htm <DESCRIPTION>FOURTH AMENDED AND RESTATED OPERATING AGREEMENT OF TOTALSTONE, LLC, DATED MARCH 27, 2020 AND EFFECTIVE AS OF NOVEMBER 26, 2021 <TEXT> Document 9 - file: ea021443304ex10-10_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.11 <SEQUENCE>10 <FILENAME>ea021443304ex10-11_capst.htm <DESCRIPTION>CONSENT AND FIRST AMENDMENT TO THE FOURTH AMENDED AND RESTATED OPERATING AGREEMENT OF TOTALSTONE, LLC, DATED MARCH 27, 2020 AND EFFECTIVE AS OF NOVEMBER 26, 2021 <TEXT> Document 10 - file: ea021443304ex10-11_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.12 <SEQUENCE>11 <FILENAME>ea021443304ex10-12_capst.htm <DESCRIPTION>SECOND AMENDED AND RESTATED CREDIT AGREEMENT, DATED MARCH 8, 2023, BY AND BETWEEN TOTALSTONE, LLC, NORTHEAST MASONRY DISTRIBUTORS, LLC, TOTALSTONE PROPERTIES, LLC, AND STREAM FINANCE, LLC <TEXT> Document 11 - file: ea021443304ex10-12_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.13 <SEQUENCE>12 <FILENAME>ea021443304ex10-13_capst.htm <DESCRIPTION>CONSENT, WAIVER AND AMENDMENT TO SECOND AMENDED AND RESTATED CREDIT AGREEMENT, DATED OCTOBER 18, 2024, BY AND BETWEEN TOTALSTONE, LLC, NORTHEAST MASONRY DISTRIBUTORS, LLC, TOTALSTONE PROPERTIES, LLC, AND STREAM FINANCE, LLC <TEXT> Document 12 - file: ea021443304ex10-13_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.14 <SEQUENCE>13 <FILENAME>ea021443304ex10-14_capst.htm <DESCRIPTION>NON-NEGOTIABLE SECURED SUBORDINATED PROMISSORY NOTE BY AND BETWEEN TOTALSTONE, LLC AND NORTHEAST MASONRY DISTRIBUTORS, LLC <TEXT> Document 13 - file: ea021443304ex10-14_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.15 <SEQUENCE>14 <FILENAME>ea021443304ex10-15_capst.htm <DESCRIPTION>NON-NEGOTIABLE SECURED SUBORDINATED CONTINGENT VALUE PROMISSORY NOTE BY AND BETWEEN NEM PURCHASER, LLC AND NORTHEAST MASONRY DISTRIBUTORS, LLC <TEXT> Document 14 - file: ea021443304ex10-15_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.16 <SEQUENCE>15 <FILENAME>ea021443304ex10-16_capst.htm <DESCRIPTION>BROOKSTONE PARTNERS IAC, INC. AMENDED AND RESTATED MANAGEMENT FEE AGREEMENT DATED MARCH 1, 2020 BY AND BETWEEN TOTALSTONE, LLC AND BROOKSTONE PARTNERS IAC, INC <TEXT> Document 15 - file: ea021443304ex10-16_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.17 <SEQUENCE>16 <FILENAME>ea021443304ex10-17_capst.htm <DESCRIPTION>MANAGEMENT FEE AGREEMENT, DATED MARCH 27, 2020, BY AND BETWEEN TOTALSTONE, LLC AND CAPSTONE HOLDING CORP <TEXT> Document 16 - file: ea021443304ex10-17_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.18 <SEQUENCE>17 <FILENAME>ea021443304ex10-18_capst.htm <DESCRIPTION>AMENDMENT OF AMENDED AND RESTATED MANAGEMENT FEE AND TRANSACTION FEE AGREEMENT, DATED NOVEMBER 15, 2024, BY AND BETWEEN CAPSTONE HOLDING CORP., TOTALSTONE, LLC, AND BROOKSTONE PARTNERS IAC, INC <TEXT> Document 17 - file: ea021443304ex10-18_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.19 <SEQUENCE>18 <FILENAME>ea021443304ex10-19_capst.htm <DESCRIPTION>LIMITED PAYMENT GUARANTEE DATED MARCH 31, 2021, BETWEEN CAPSTONE THERAPEUTICS CORP. AND BROOKSTONE ACQUISITION PARTNERS XXI CORPORATION <TEXT> Document 18 - file: ea021443304ex10-19_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.23 <SEQUENCE>19 <FILENAME>ea021443304ex10-23_capst.htm <DESCRIPTION>LIPIMETIX DEVELOPMENT, INC. CONTINGENT VALUE RIGHTS AGREEMENT, DATED AUGUST 23, 2019, BY AND AMONG CAPSTONE THERAPEUTICS CORP., THE SHAREHOLDER REPRESENTATIVE AND COMPUTERSHARE INC., AND COMPUTERSHARE TRUST COMPANY, N.A., AS RIGHTS AGENT <TEXT> Document 19 - file: ea021443304ex10-23_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.24 <SEQUENCE>20 <FILENAME>ea021443304ex10-24_capst.htm <DESCRIPTION>SECOND AMENDED AND RESTATED PROMISSORY NOTE, DATED NOVEMBER 11, 2024, ISSUED BY CAPSTONE HOLDING CORP. TO BP PEPTIDES, LLC <TEXT> Document 20 - file: ea021443304ex10-24_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.25 <SEQUENCE>21 <FILENAME>ea021443304ex10-25_capst.htm <DESCRIPTION>REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT BY AND AMONG TOTALSTONE, LLC, NORTHEAST MASONRY DISTRIBUTORS, LLC, TOTALSTONE PROPERTIES, LLC, AND BERKSHIRE BANK, DATED DECEMBER 20, 2017 <TEXT> Document 21 - file: ea021443304ex10-25_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.26 <SEQUENCE>22 <FILENAME>ea021443304ex10-26_capst.htm <DESCRIPTION>AMENDMENTS TO REVOLVING CREDIT, TERM LOAN AND SECURITY AGREEMENT STILL IN EFFECT AS OF DECEMBER 30, 2024 <TEXT> Document 22 - file: ea021443304ex10-26_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.27 <SEQUENCE>23 <FILENAME>ea021443304ex10-27_capst.htm <DESCRIPTION>SECOND AMENDED AND RESTATED REVOLVING CREDIT NOTE ISSUED BY TOTALSTONE, LLC AND NORTHEAST MASONRY DISTRIBUTORS, LLC TO BERKSHIRE BANK, DATED NOVEMBER 14, 2019 <TEXT> Document 23 - file: ea021443304ex10-27_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.28 <SEQUENCE>24 <FILENAME>ea021443304ex10-28_capst.htm <DESCRIPTION>TERM NOTE ISSUED BY TOTALSTONE, LLC, NORTHEAST MASONRY DISTRIBUTORS, LLC, AND TOTALSTONE PROPERTIES, LLC TO BERKSHIRE BANK, DATED NOVEMBER 22, 2021 <TEXT> Document 24 - file: ea021443304ex10-28_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.29 <SEQUENCE>25 <FILENAME>ea021443304ex10-29_capst.htm <DESCRIPTION>SECOND AMENDED AND RESTATED PROMISSORY NOTE ISSUED BY CAPSTONE HOLDING CORP. TO BROOKSTONE PARTNERS ACQUISITION XXI CORPORATION, DATED NOVEMBER 11, 2024 <TEXT> Document 25 - file: ea021443304ex10-29_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-21.1 <SEQUENCE>26 <FILENAME>ea021443304ex21-1_capst.htm <DESCRIPTION>LIST OF SUBSIDIARIES <TEXT> Document 26 - file: ea021443304ex21-1_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-23.1 <SEQUENCE>27 <FILENAME>ea021443304ex23-1_capst.htm <DESCRIPTION>CONSENT OF GBQ PARTNERS LLC <TEXT> Document 27 - file: ea021443304ex23-1_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>28 <FILENAME>ea021443304ex99-1_capst.htm <DESCRIPTION>CONSENT OF CHARLES DANA TO BE NAMED AS A DIRECTOR NOMINEE <TEXT> Document 28 - file: ea021443304ex99-1_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.2 <SEQUENCE>29 <FILENAME>ea021443304ex99-2_capst.htm <DESCRIPTION>CONSENT OF GORDON STROUT TO BE NAMED AS A DIRECTOR NOMINEE <TEXT> Document 29 - file: ea021443304ex99-2_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.3 <SEQUENCE>30 <FILENAME>ea021443304ex99-3_capst.htm <DESCRIPTION>CONSENT OF FREDRIC J. FELDMAN TO BE NAMED AS A DIRECTOR NOMINEE <TEXT> Document 30 - file: ea021443304ex99-3_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.4 <SEQUENCE>31 <FILENAME>ea021443304ex99-4_capst.htm <DESCRIPTION>CONSENT OF ELWOOD D. HOWSE TO BE NAMED AS A DIRECTOR NOMINEE <TEXT> Document 31 - file: ea021443304ex99-4_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-FILING FEES <SEQUENCE>32 <FILENAME>ea021443304ex-fee_capst.htm <DESCRIPTION>FILING FEE TABLE <TEXT> Document 32 - file: ea021443304ex-fee_capst.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>33 <FILENAME>ex23-1_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 33 - file: ex23-1_001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>34 <FILENAME>ex23-1_002.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 34 - file: ex23-1_002.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>35 <FILENAME>timage_004.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 35 - file: timage_004.jpg
</DOCUMENT> </SEC-DOCUMENT>