East Asset Management, LLC - 29 Nov 2021 Form 4 Insider Report for RAND CAPITAL CORP (RAND)

Role
10%+ Owner
Signature
/s/ Adam Samuel Gusky
Issuer symbol
RAND
Transactions as of
29 Nov 2021
Net transactions value
+$47,124
Form type
4
Filing time
01 Dec 2021, 15:12:55 UTC
Previous filing
26 Nov 2021
Next filing
06 Dec 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RAND Common Stock Purchase $148 +9 +0% $16.50 1,642,346 29 Nov 2021 Direct F1
transaction RAND Common Stock Purchase $46,975 +2,805 +0.17% $16.75 1,645,151 30 Nov 2021 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.