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RAND CAPITAL CORP — Director's Dealing 2020
Aug 24, 2020
34657_dirs_2020-08-24_c9671868-a1e9-4e14-ae0e-9968ea5f8b68.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: 2020-08-20
Reporting Person: Gusky Adam Samuel (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2020-08-24 | Common Stock | P | 1019 | $11.62 | Acquired | 5421 | Indirect |
| 2020-08-21 | Common Stock | P | 1278 | $11.20 | Acquired | 4402 | Indirect |
| 2020-08-20 | Common Stock | P | 25 | $11.21 | Acquired | 3124 | Indirect |
Footnotes
F1: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.15 to $11.64 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F2: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC.
F3: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.14 to $11.40 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F4: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.20 to $11.30 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.