SEC Form 4 · accession 0001209191-16-155593
Capstone Holding Corp. · CAPS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Lloyd I Miller III
10% Owner
Period of report
Dec 15, 2016
Accepted (ET)
Dec 16, 2016 · 2:14 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000887151
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 15, 2016 | S | 20,000 | $0.04 | D | 38,967 | D | |
| Common StockF1 | holding | — | — | — | 472,792 | I | By Milfam II L.P. | |
| Common StockF1 | holding | — | — | — | 90,344 | I | By Trust D - Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 641,218 | I | By Trust C - Lloyd I. Miller | |
| Common StockF1 | holding | — | — | — | 724,100 | I | By LIMFAM LLC | |
| Common StockF1 | holding | — | — | — | 5,828,968 | I | By Trust A-4 - Lloyd I. Miller |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The 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.