Filing Details
- Accession Number:
- 0001493152-20-016960
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-08-28 18:05:27
- Reporting Period:
- 2020-08-26
- Accepted Time:
- 2020-08-28 18:05:27
- 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 |
|---|---|---|---|---|---|---|---|
| 1793591 | East Asset Management, Llc | 7777 Nw Beacon Square Blvd. Boca Raton, FL 33487 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2020-08-28 | 3,328 | $11.25 | 1,631,813 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2020-08-27 | 1 | $11.25 | 1,628,485 | No | 4 | P | Direct | |
| Common Stock | Acquisiton | 2020-08-26 | 1,671 | $11.24 | 1,628,484 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct |
Footnotes
- 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.
- 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.
- 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.
Billionaire Hedge Funds
