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

Role
10%+ Owner
Signature
/s/ Adam Samuel Gusky
Stock symbol
RAND
Transactions as of
Nov 29, 2021
Transactions value $
$47,124
Form type
4
Date filed
12/1/2021, 03:12 PM
Previous filing
Nov 26, 2021
Next filing
Dec 6, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RAND Common Stock Purchase $149 +9 +0% $16.50 1.64M Nov 29, 2021 Direct F1
transaction RAND Common Stock Purchase $47K +2.81K +0.17% $16.75 1.65M Nov 30, 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.