Comparable stake leader
East Asset Management, LLC
SEC ownership of RAND CAPITAL CORP
Top holders, 13D/G large-stake signals, insider positions, and transaction flow tied to CIK 0000081955.
Disclosed value leader
East Asset Management, LLC
Comparable rows
0/12
Latest evidence
31 Mar 2026
- Public ticker
- RAND on Nasdaq
- Parsed ownership sources
-
3/4/5 and 13F
Source: Parsed SEC ownership filingsUse: Compare filing families carefully
- Largest SEC-reported holder
-
East Asset Management, LLC
Ranking: Comparable ownership first, then disclosed value
- Latest parsed ownership date
-
31 Mar 2026
Freshness: Most recent filing date in this holder set
- Issuer CIK
- 0000081955
- Issuer location
- Buffalo, NY
Ownership snapshot
CIK-linked ownership evidence from parsed SEC filings.
1 signal
Issuer
Names, identifiers, and filing context for this profile.
2 identity fields
Ownership snapshot
Top shareholders of RAND CAPITAL CORP (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.
Comparable stake leader
East Asset Management, LLC
Disclosed value leader
East Asset Management, LLC
Comparable rows
0/12
Latest evidence
31 Mar 2026
3/4/5
13F
Highest disclosed value: $21,805,488
12 rows are not safely comparable across share classes.
Showing 1-8 of 12 holder rows.
Quick read
East Asset Management, LLC has the largest disclosed position value at $21.81M.
0 of 12 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.
Open SEC evidence
Opens East Asset Management, LLC's linked filing trail.
Disclosed position value
Top 5
East Asset Management, LLC
$21.81M
Adam Samuel Gusky
$503.2K
Benjamin E. Godley
$348.8K
Robert M. Zak
$268.4K
Daniel P. Penberthy
$220.5K
Value bars compare disclosed positions; verify each figure against the linked filing evidence.
Detailed SEC evidence table Showing 1-8 of 12 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| East Asset Management, LLC |
3/4/5
10%+ Owner
|
—
class O/S missing
|
$21,805,488
1,658,212 shares
|
— | 10 Dec 2021 |
| Adam Samuel Gusky |
3/4/5
Director
|
—
class O/S missing
|
$503,190
33,546 shares
|
+$15,247 | 15 Sep 2025 |
| Benjamin E. Godley |
3/4/5
Director
|
—
class O/S missing
|
$348,750
25,000 shares
|
— | 12 Mar 2024 |
| Robert M. Zak |
3/4/5
Director
|
—
class O/S missing
|
$268,378
20,409 shares
|
— | 10 May 2023 |
| Daniel P. Penberthy |
3/4/5
President and CEO
|
—
class O/S missing
|
$220,512
16,769 shares
|
— | 12 May 2023 |
| COURIER CAPITAL LLC |
13F
Company
|
—
class O/S missing
|
$180,739
15,382 shares
|
— | 31 Mar 2026 |
| SHUFRO ROSE & CO LLC |
13F
Company
|
—
class O/S missing
|
$164,500
14,000 shares
|
— | 31 Mar 2026 |
| Erland E. Kailbourne |
3/4/5
Director
|
—
class O/S missing
|
$144,650
11,000 shares
|
— | 13 Mar 2023 |
How to read this table
Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
Forms 3/4/5 flow
Insider trading overview
Net insider flow leans to buying over the last 12 months. Net value: +$15,247.
Buys
$15,247
Insiders: 1
Sells
$0
Insiders: 0
Net
+$15,247
Shares: +1,030
Window
Last 12 months
4 rolling buckets
Buy value
Sell value
Shares: 1,030
Shares: 0
| Window (months) | Buy shares | Sell shares | Buy value | Sell value | Net value |
|---|---|---|---|---|---|
| 0-3 | 0 | 0 | $0 | $0 | $0 |
| 3-6 | 0 | 0 | $0 | $0 | $0 |
| 6-9 | 0 | 0 | $0 | $0 | $0 |
| 9-12 | 1,030 | 0 | $15,247 | $0 | +$15,247 |
Reporting owners
Insider holders from Forms 3/4/5
Showing 1-10 of 10 reporting-owner rows connected to RAND CAPITAL CORP. Open a relationship link for the CIK-to-CIK filing trail.
Rows
10
Largest Forms 3/4/5 holder
East Asset Management, LLC
Net 12M change
+$15,247
Latest report
15 Sep 2025
| Name | Relationship | Holdings Value | Past Year Net Change | Change % | Valuation | Report Date |
|---|---|---|---|---|---|---|
| East Asset Management, LLC | 10%+ Owner | $21,805,488 | Mixed | 10 Dec 2021 | ||
| Adam Samuel Gusky | Director | $503,190 | +$15,247 | +3.1% | Filing P/S | 15 Sep 2025 |
| Benjamin E. Godley | Director | $348,750 | Filing P/S | 12 Mar 2024 | ||
| Robert M. Zak | Director | $268,378 | Mixed | 10 May 2023 | ||
| Daniel P. Penberthy | President and CEO | $220,512 | Mixed | 12 May 2023 | ||
| Erland E. Kailbourne | Director | $144,650 | Mixed | 13 Mar 2023 | ||
| Cari L. Jaroslawsky | Director | $19,265 | Mixed | 13 Jun 2023 | ||
| Heather Eastgate | Chief Compliance Officer | Mixed | 27 Jan 2022 | |||
| Margaret Brechtel | EVP, Treas., CFO & Sec. | Mixed | 01 Dec 2021 | |||
| Nancy Marie Stone | Chief Compliance Officer | Mixed | 01 Dec 2021 |
Recent insider transactions for RAND CAPITAL CORP
Showing up to 300 recent insider transactions from the last 12 months.
| Insider | Symbol | Class | Transaction | % | SEC-reported value | SEC-reported price | Shares | Shares owned | Date | Ownership |
|---|---|---|---|---|---|---|---|---|---|---|
| Adam Samuel Gusky | RAND | Common Stock | Purchase | 3.17% | $15,247 | $14.80 | 1,030 | 33,546 | 15 Sep 2025 | By LLC |
* marks a reported price that did not pass the local price check.