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Filing Details

Accession Number:: 0001493152-20-016643
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2020-08-24 17:45:18
Reporting Period:: 2020-08-20

Accepted Time:: 2020-08-24 17:45:18
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
81955	Rand Capital Corp	RAND	()	160961359

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1792912	Samuel Adam Gusky	C/O 2200 Rand Building Buffalo, NY 14203		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2020-08-24	1,019	$11.62	5,421	No	4	P	Indirect	By LLC
Common Stock	Acquisiton	2020-08-21	1,278	$11.20	4,402	No	4	P	Indirect	By LLC
Common Stock	Acquisiton	2020-08-20	25	$11.21	3,124	No	4	P	Indirect	By LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By LLC
No	4	P	Indirect	By LLC
No	4	P	Indirect	By LLC

Footnotes

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.
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.
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.
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.