East Asset Management, LLC - Dec 10, 2021 Form 4 Insider Report for RAND CAPITAL CORP (RAND)

Role
10%+ Owner
Signature
/s/ Daniel Penberthy on behalf of Adam Samuel Gusky (2)
Stock symbol
RAND
Transactions as of
Dec 10, 2021
Transactions value $
$162,750
Form type
4
Date filed
12/13/2021, 05:50 PM
Previous filing
Dec 6, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction RAND Common Stock Purchase $64.4K +3.68K +0.22% $17.50 1.65M Dec 10, 2021 Direct F1
transaction RAND Common Stock Purchase $98.4K +5.62K +0.34% $17.50 1.66M Dec 13, 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.

Remarks:

(2) Daniel Penberthy is signing on behalf of Mr. Gusky pursuant to a power of attorney dated December 1, 2021, which was previously filed with the Securities and Exchange Commission as an exhibit to the Form 4 that Mr. Gusky filed on December 6, 2021.