CAPSTONE COMPANIES, INC.

Overview

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• TickerCAPC on OTC²
• IndustryElectric Lighting & Wiring Equipment²
• HeadquartersDeerfield Beach, United States²
• Incorporated inFL³
• Business addressNumber 144-V, 10 Fairway Drive, Suite 100, Deerfield Beach, Fl 33441³
• Filer categoryNon-accelerated filer, Smaller reporting company³
• Legal formCorporation²
• LEI549300X9O3EZ31MZZS52²
• StatusActive²
• LEI statusLapsed (not renewed)²
• Registered addressC/O Stewart, Wallach, 33444 Delray Beach, United States²
• Registered withFlorida Division of Corporations, P04000056287²

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2025. The Company has and will consider opportunities in other industries in fiscal year 2025 and in fiscal year 2026.⁴ From its latest annual report

Corporate structure

CAPSTONE COMPANIES, INC. sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What CAPSTONE COMPANIES, INC. reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

Investments

Intangibles and goodwill

Properties, in its own words

On July 1, 2023, the Company commenced an office space license to use designated office space at #144-V, 10 Fairway Drive, Suite 1000, Deerfield Beach, Florida 33441. The short-term lease is a month-to-month agreement for professional office space for a monthly fee of $75 with a security deposit of $75. The agreement may be terminated by the Company or the licensor of the office space upon a written notice provided thirty (30) days in advance.

Item 2 of the 10-K filed Apr 1, 2026.⁴

Leadership

Who has led CAPSTONE COMPANIES, INC., and when. Pick a name to see everywhere that person has worked.

• Chief executive officerStewart Wallach May 15, 2007 to Jan 6, 2021¹⁵
• Chief executive officerHoward Ullman Feb 24, 2006 to Apr 27, 2007¹⁶
• ChairHoward Ullman May 4, 2007 to May 13, 2011¹⁷
• PresidentStewart Wallach May 15, 2007 to Jun 4, 2008¹⁵
• PresidentHoward Ullman Feb 24, 2006 to Apr 27, 2007¹⁶
• Chief financial officerJames G. McClinton Jan 14, 2010 to Jun 21, 2011¹⁸
• Chief financial officerLaurie Holtz Apr 10, 2008 to Apr 10, 2008¹⁹
• Chief operating officerJames G. McClinton Feb 7, 2008 to Jun 21, 2011²⁰

Former names

• CHDT CORPAug 14, 2007 to Jul 12, 2012³
• CHINA DIRECT TRADING CORPJun 17, 2004 to Jul 27, 2007³
• CBQ INCDec 8, 1998 to May 28, 2004³
• FREEDOM FUNDING INCMar 6, 1997 to Apr 27, 1998³

Timeline

1. Aug 5, 20268-K Entered a material agreement³²
2. Jul 8, 20268-K Entered a material agreement³³
3. May 20, 20268-K Entered a material agreement; Regulation FD disclosure³⁴
4. May 15, 20268-K Entered a material agreement³⁵
5. Mar 5, 20268-K Entered a material agreement³⁶
6. Jan 12, 20268-K Entered a material agreement³⁷
7. Dec 16, 20258-K Regulation FD disclosure³⁸
8. Oct 15, 20258-K Regulation FD disclosure³⁹
9. Apr 30, 20258-K Change of auditor⁴⁰
10. Mar 25, 20258-K Entered a material agreement; Regulation FD disclosure⁴¹
11. Mar 14, 20258-K Entered a material agreement⁴²
12. Mar 10, 20258-K Other events⁴³
13. May 15, 2007New chief executive Stewart Wallach becomes CEO¹⁵
14. Feb 24, 2006New chief executive Howard Ullman becomes CEO¹⁶
15. Mar 25, 2004Founded CAPSTONE COMPANIES, INC. is founded²

Calendar

When it reported results

1. Mar 21, 2022Reported quarterly or annual results⁴⁴

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

84 filings to the SEC since October 2021: 6 annual reports, 15 quarterly reports, 40 major events, 15 insider forms, 4 large holders, 1 private raises, 3 other. The latest 20:

1. Aug 13, 202610-Q EDGAR
2. Aug 5, 20268-K EDGAR
3. Jul 8, 20268-K/A EDGAR
4. May 20, 20268-K/A EDGAR
5. May 15, 20268-K EDGAR
6. May 14, 202610-Q EDGAR
7. Apr 1, 2026NT 10-K EDGAR
8. Apr 1, 202610-K EDGAR
9. Mar 23, 2026SCHEDULE 13G EDGAR
10. Mar 5, 20268-K EDGAR
11. Jan 12, 20268-K EDGAR
12. Dec 16, 20258-K EDGAR
13. Nov 13, 202510-Q EDGAR
14. Oct 15, 20258-K EDGAR
15. Aug 22, 20254 EDGAR
16. Aug 22, 20254 EDGAR
17. Aug 22, 20254 EDGAR
18. Aug 19, 20253 EDGAR
19. Aug 14, 202510-Q EDGAR
20. May 15, 202510-Q EDGAR

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

22 open-market trades by officers, directors and large owners since October 2021: 22 buys and 0 sales. Grants, option exercises and gifts are left out.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

• Christopher Radford ValenteSCHEDULE 13G, 1 filing Mar 23, 2026⁴⁵
• Rodney Christopher EmsSCHEDULE 13G, 1 filing Mar 26, 2025⁴⁶
• Jeffrey PostalSCHEDULE 13D/A, 1 filing Jan 8, 2025⁴⁷
• Stewart WallachSCHEDULE 13D/A, 1 filing Dec 26, 2024⁴⁸

Funding

Where the company's money came from, by calendar year: private offerings filed with the SEC, federal grants, loans, contracts and other assistance from USAspending.gov, and PPP loans from the SBA. Each bar links to the records below.

Private raises

Private offerings the company reported to the SEC on Form D. The amount is what the latest filing says was sold so far, charted in the year of the first sale. Covers filings since Oct 1, 2021.

1. Dec 18, 2024Raised $494,871 in a private offering of equity⁴⁹ Form D: 5 investors so far Form D

SEC filer profile

How CAPSTONE COMPANIES, INC. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

• Name on EDGARCAPSTONE COMPANIES, INC.¹
• CIK0000814926
• Employer ID (EIN)84-1047159⁴
• Filer statusNon-accelerated filer not an emerging growth company; a smaller reporting company; a shell company⁴
• Incorporated inFlorida⁴
• Fiscal year endsDecember 31¹
• Industry code (SIC)3640 Electric Lighting & Wiring Equipment¹
• SEC reviewing officeOffice of Manufacturing, Division of Corporation Finance¹
• Business addressNumber 144-V, 10 Fairway Drive, Suite 100, Deerfield Beach, FL 33441¹
• Phone(954) 252-3440¹
• Shares outstanding48,826,864 as of Aug 11, 2026¹³
• Public float$1.2M as of Jun 30, 2025⁴
• AuditorAssurance Dimensions, LLC., Coral Springs, Florida PCAOB ID 5036; no auditor attestation of internal control over financial reporting⁴
• On EDGAR sinceMar 6, 1997¹
• Filings755 in all: 8-K (236), 4 (99), 10QSB (60), 10-Q (56), 8-K/A (51), 5 (24), 10KSB (20), SC 13D/A (20)¹
  All 42 form types

  UPLOAD (19), 10-K (18), DEF 14C (15), 3 (14), D (12), 4/A (11), CORRESP (11), NT 10-Q (11), 10QSB/A (10), 10-K/A (9), NT 10-K (9), S-8 (6), SC 13D (6), 10KSB/A (4), DEFR14C (4), PRE 14C (3), 10-Q/A (2), 3/A (2), 5/A (2), DEFA14A (2), EFFECT (2), POS AM (2), S-1 (2), SCHEDULE 13D/A (2), SCHEDULE 13G (2), 144 (1), 8-A12G (1), NTN 10Q (1), PRE 14A (1), PRER14C (1), REGDEX (1), RW (1), S-1/A (1), SC 13G (1)

• Latest filingsAnnual report (10-K) Apr 1, 2026
  Quarterly report (10-Q) Aug 13, 2026
  Latest 8-K (8-K) Aug 5, 2026

Risk factors and legal proceedings

The risks CAPSTONE COMPANIES, INC. names in Item 1A of its 10-K filed Apr 1, 2026: 19 risks under these headings, as written.⁴

• Business and Operational Risks
• Our auditors have issued a going concern opinion, and we will not be able to achieve our objectives and will have to cease operations if we cannot adequately fund our operations.
• The declining revenues in 2024 of our business line of LED lighting products and the lack of a sufficient revenue generating operation in 2025 have resulted in significant operating losses and imposed a need to sustain operations with outside funding of working capital. If the Company cannot obtain adequate, affordable funding, whether equity or debt, as needed, the Company will have difficulty sustaining the Company as a going concern.
• The Company will need additional third-party funding to sustain operations and fund any further business development efforts. The Company has no consumer products in active production and has no revenue generating operations as of the date of the filing of this Form 10-K report.
• Our operating results and sustainability as an operating company in the future are substantially dependent on the success of HFS development program in 2026.
• Our operations depend on a small number of personnel and consultants and the loss of key personnel and consultants or the inability to replace or add key personnel and consultants could have a significant impact on our ability to grow or sustain operations.
• The markets in which we operate are highly competitive and have evolving technical or consumer requirements.
• With the end of the licensing arrangement for the Connected Chef in late 2025 and the absence of current revenue-generating operations, the Company is in a transitional stage as it evaluates and pursues new business opportunities. During this period, the Company’s activities are primarily focused on corporate compliance, maintaining public company infrastructure and business development efforts, including identifying and evaluating potential acquisitions, strategic partnerships, or new business lines.
• As a result of these conditions, there is a risk that market participants, regulators, or other stakeholders could perceive the Company as having limited operations. Under SEC Rule 12b-2 under the Exchange Act, a Company may be considered a “shell company” if it has no or nominal assets (other than cash) and no or nominal operations. The determination of whether a company meets this definition is based on specific facts and circumstances and involved judgement.
• While the Company continues to maintain organizational infrastructure, management oversight, and active efforts to develop or acquire a new business line, there can be no assurance that these activities will be sufficient to avoid any characterization as a shell company under applicable SEC rules.
• If the Company were to be deemed a shell company, it could have significant consequences, including limitations on the availability of Rule 144 for the resale of securities, restrictions on the use of certain registration statements, and increased difficulty in accessing capital markets or completing strategic transactions. In addition, such a characterization could negatively impact investor perception and the market liquidity of the Company’s common stock.
• Regulatory and Legal Risks

Legal proceedings

We are not a party to any material pending legal proceedings and, to the best our knowledge, no such action by or against us has been threatened. From time to time, we may be subject to legal proceedings and claims that arise in the ordinary course of business. Although occasional adverse decisions or settlements may occur in such routine lawsuits, we believe that the final disposition of such routine lawsuits will not have material adverse effect on our financial position, results of operations or cash flows.

Other Legal Matters

To the best of our knowledge, none of our directors, officers or owner of record of more than five percent (5%) of the securities of the Company, or any associate of any such director, officer or security holder is a party adverse to us or has a material interest adverse to us in reference to pending litigation.

The opening of Item 3, Legal Proceedings.⁴