Item 5. Other Information
Item 5. Other Information
Rule 10b5-1 Trading Plans
During the quarter ended June 30, 2026, none of our directors or officers adopted or terminated any contract, instruction or written plan for the purchase or sale of our securities to satisfy the affirmative defense conditions of “ Rule 10b5-1 trading arrangement ” or any “ non-Rule 10b5-1 trading arrangement .”
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Item 6. Exhibit s
Exhibit
Number
Description
3.1
Second Amended and Restated Certificate of Incorporation of Capstone Green Energy Holdings, Inc. (a)
3.2
Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation (b)
3.3
Amended and Restated Bylaws of Capstone Energy+, Inc. (b)
3.4
Certificate of Designation of Series A Convertible Preferred Stock of Capstone Green Energy Holdings, Inc. (c)
10.1
Amendment No. 2 to the Capstone Green Energy Holdings, Inc. 2023 Equity Incentive Plan (d)
31.1*
Certification of Chief Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2*
Certification of Chief Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32**
Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
101.INS*
XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the inline XBRL document
101.SCH*
XBRL Schema Document
101.CAL*
XBRL Calculation Linkbase Document
101.LAB*
XBRL Label Linkbase Document
101.PRE*
XBRL Presentation Linkbase Document
101.DEF*
XBRL Definition Linkbase Document
104*
The cover page from Capstone Energy+, Inc.’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2026, formatted in Inline XBRL and contained in Exhibit 101
* Filed herewith
** Furnished herewith
(a)
Incorporated by reference to the Company’s Current Report on Form 8-K12G3 filed on December 11, 2023 (File No. 001-15957).
(b)
Incorporated by reference to the Company’s Current Report on Form 8-K filed on April 29, 2026 (File No. 001-15957).
(c)
Incorporated by reference to the Company’s Current Report on Form 8-K filed on April 1, 2026 (File No. 001-15957).
(d)
Incorporated by reference to the Company’s Current Report on Form 8-K filed on April 22, 2026 (File No. 001-15957).
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
CAPSTONE ENERGY+, INC.
By:
/s/ JOHN P. MILLER
John P. Miller
Interim Chief Financial Officer
(Duly Authorized Officer and Interim Principal Financial Officer)
Date: August 12, 2026
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.