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