Form 4 for RAND RAND CAPITAL CORP
Accepted 2021-12-13 00:00:00 ET · period of report 2021-12-10 · accession 0001493152-21-031319 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2021-12-13 | 2021-12-10+ | RAND | East Asset Management, LLC | 10% | P - Purchase | $17.50 | +9,300 | 1.65M | +0.6% | +$162.8K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-12-13 | P | A | 5,620 | $17.50 | 1,658,212 | D | — | — | (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. |
| 2 | Common | Common Stock | 2021-12-10 | P | A | 3,680 | $17.50 | 1,652,592 | D | — | — | (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. |