0001493152-20-016643.txt : 20200824 0001493152-20-016643.hdr.sgml : 20200824 20200824174518 ACCESSION NUMBER: 0001493152-20-016643 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200820 FILED AS OF DATE: 20200824 DATE AS OF CHANGE: 20200824 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Gusky Adam Samuel CENTRAL INDEX KEY: 0001792912 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00235 FILM NUMBER: 201128830 MAIL ADDRESS: STREET 1: RAND CAPITAL CORPORATION STREET 2: 14 LAFAYETTE SQUARE, SUITE 2200 CITY: BUFFALO STATE: NY ZIP: 14203 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 4 1 ownership.xml X0306 4 2020-08-20 0 0000081955 RAND CAPITAL CORP RAND 0001792912 Gusky Adam Samuel C/O 2200 RAND BUILDING BUFFALO, NY 14203 1 0 0 0 Common Stock 2020-08-24 4 P 0 1019 11.62 A 5421 I By LLC Common Stock 2020-08-21 4 P 0 1278 11.20 A 4402 I By LLC Common Stock 2020-08-20 4 P 0 25 11.21 A 3124 I By LLC The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.15 to $11.64 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.14 to $11.40 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.20 to $11.30 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. /s/ Daniel P. Penberthy (Attorney-In-Fact) 2020-08-24