0001493152-21-003669.txt : 20210212 0001493152-21-003669.hdr.sgml : 20210212 20210212164550 ACCESSION NUMBER: 0001493152-21-003669 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRUM ALLEN F CENTRAL INDEX KEY: 0001057072 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00235 FILM NUMBER: 21628687 MAIL ADDRESS: STREET 1: C/O RAND CAPITAL CORP STREET 2: 2200 RAND BLDG 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: 1405 RAND BUILDING CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168530802 MAIL ADDRESS: STREET 1: 1405 RAND BUILDING CITY: BUFFALO STATE: NY ZIP: 14203 5 1 ownership.xml X0306 5 2020-12-31 0 0 0 0000081955 RAND CAPITAL CORP RAND 0001057072 GRUM ALLEN F 1405 RAND BUILDING BUFFALO NY 14203 1 1 0 0 Chief Executive Officer Common Stock 15998 D Common Stock 17610 I By 401(k) Plan On March 3, 2020, Rand Capital Corporation (the "Issuer") declared a special dividend, which, subject to an election by each shareholder and proration limitations, was paid partially in cash and partially in shares of the Issuer's common stock. The reporting person's shares reported in this report include the shares of the Issuer's common stock acquired pursuant to the special dividend. On May 21, 2020, the Issuer completed a 1-for-9 reverse stock split of the Issuer's common stock. The reporting person's shares reported in this report reflect the effect of the 1-for-9 reserve stock split. /s/ Allen F. Grum 2021-02-12