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RAND CAPITAL CORP — Director's Dealing 2020
Aug 28, 2020
34657_dirs_2020-08-28_95ba3924-fe09-482c-8205-6a3c44686321.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: RAND CAPITAL CORP (RAND)
CIK: 0000081955
Period of Report: 2020-08-26
Reporting Person: East Asset Management, LLC (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-08-28 | Common Stock | P | 3328 | $11.25 | Acquired | 1631813 | Direct |
| 2020-08-27 | Common Stock | P | 1 | $11.25 | Acquired | 1628485 | Direct |
| 2020-08-26 | Common Stock | P | 1671 | $11.24 | Acquired | 1628484 | Direct |
Footnotes
F1: Adam Gusky may be deemed to have voting and dispositive power over these shares due to his position as chief investment officer of East Asset Management, LLC ("East"). Mr. Gusky disclaims beneficial ownership over the shares held by East.
F2: Securities beneficially owned have been adjusted to take into account the reverse stock split effective as of the close of business on May 21, 2020.
F3: Includes shares acquired in connection with Rand Capital Corporation's distribution declared on March 3, 2020 since the filing of East Asset Management's previous beneficial ownership report on Form 3 on November 15, 2019.