0001493152-20-016960.txt : 20200828 0001493152-20-016960.hdr.sgml : 20200828 20200828180527 ACCESSION NUMBER: 0001493152-20-016960 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200826 FILED AS OF DATE: 20200828 DATE AS OF CHANGE: 20200828 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00235 FILM NUMBER: 201149114 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 4 1 ownership.xml X0306 4 2020-08-26 0 0000081955 RAND CAPITAL CORP RAND 0001793591 East Asset Management, LLC 7777 NW BEACON SQUARE BLVD. BOCA RATON, FL 33487 0 0 1 0 Common Stock 2020-08-28 4 P 0 3328 11.25 A 1631813 D Common Stock 2020-08-27 4 P 0 1 11.25 A 1628485 D Common Stock 2020-08-26 4 P 0 1671 11.24 A 1628484 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. Securities beneficially owned have been adjusted to take into account the reverse stock split effective as of the close of business on May 21, 2020. Includes shares acquired in connection with Rand Capital Corporation's distribution declared on March 3, 2020 since the filing of East Asset Management's previous beneficial ownership report on Form 3 on November 15, 2019. /s/ Daniel P. Penberthy (Attorney-In-Fact) 2020-08-28