0001493152-19-017772.txt : 20191115 0001493152-19-017772.hdr.sgml : 20191115 20191115170105 ACCESSION NUMBER: 0001493152-19-017772 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191108 FILED AS OF DATE: 20191115 DATE AS OF CHANGE: 20191115 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: East Asset Management, LLC CENTRAL INDEX KEY: 0001793591 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00235 FILM NUMBER: 191225221 BUSINESS ADDRESS: STREET 1: 777 NW BEACON SQUARE BLVD. CITY: BOCA RATON STATE: FL ZIP: 33487 BUSINESS PHONE: (561) 826-3620 MAIL ADDRESS: STREET 1: 777 NW BEACON SQUARE BLVD. CITY: BOCA RATON STATE: FL ZIP: 33487 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: RAND CAPITAL CORP CENTRAL INDEX KEY: 0000081955 IRS NUMBER: 160961359 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2200 RAND BUILDING CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168530802 MAIL ADDRESS: STREET 1: 2200 RAND BUILDING CITY: BUFFALO STATE: NY ZIP: 14203 3 1 ownership.xml X0206 3 2019-11-08 0 0000081955 RAND CAPITAL CORP RAND 0001793591 East Asset Management, LLC EAST ASSET MANAGEMENT, LLC 7777 NW BEACON SQUARE BLVD. BOCA RATON FL 33487 0 0 1 0 Common Stock 8425620 D 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. /s/ Adam Gusky, Chief Investment Officer, on behalf of East Asset Management, LLC 2019-11-15