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

Reporting relationship: 10%+ Owner
Issuer ticker: RAND
Reported as of: 10 Dec 2021
Net transaction value: +$162,750
SEC form: 4
Accepted by SEC: 13 Dec 2021, 17:50:45 UTC
Prior SEC filing: 06 Dec 2021
Next SEC filing: 22 Aug 2025
Source filing: View source filing
Reporting owner signature: /s/ Daniel Penberthy on behalf of Adam Samuel Gusky (2)

Key filing fact

East Asset Management, LLC filed Form 4 for RAND CAPITAL CORP (RAND) on 13 Dec 2021.

Key facts

This page summarizes East Asset Management, LLC's Form 4 filing for RAND CAPITAL CORP (RAND).
2 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 13 Dec 2021, 17:50.

Change

Previous filing in this sequence was filed on 06 Dec 2021.
Current net transaction value: +$162,750.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

RAND transaction

Common Stock

Purchase

Transaction value: $64,400
Shares: +3,680
Change %: +0.22%
Price: $17.50
Shares after: 1,652,592
Date: 10 Dec 2021
Ownership: Direct
Footnotes: F1

RAND transaction

Common Stock

Purchase

Transaction value: $98,350
Shares: +5,620
Change %: +0.34%
Price: $17.50
Shares after: 1,658,212
Date: 13 Dec 2021
Ownership: Direct
Footnotes: F1

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 1 footnote

Footnote 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.

SEC 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.