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