0001493152-23-017800.txt : 20230516 0001493152-23-017800.hdr.sgml : 20230516 20230516163028 ACCESSION NUMBER: 0001493152-23-017800 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230512 FILED AS OF DATE: 20230516 DATE AS OF CHANGE: 20230516 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PENBERTHY DANIEL P CENTRAL INDEX KEY: 0001057068 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00235 FILM NUMBER: 23927999 BUSINESS ADDRESS: STREET 1: C/O RAND CAPITAL CORP STREET 2: 2200 RAND BLDG CITY: BUFFALO STATE: NY ZIP: 14203 BUSINESS PHONE: 7168530802 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 4 1 ownership.xml X0407 4 2023-05-12 0 0000081955 RAND CAPITAL CORP RAND 0001057068 PENBERTHY DANIEL P C/O 1405 RAND BUILDING BUFFALO NY 14203 0 1 0 0 President and CEO 0 Common Stock 2023-05-12 4 P 0 1 12.99 A 16270 D Common Stock 2023-05-16 4 P 0 499 13.359 A 16769 D /s/ Daniel P. Penberthy 2023-05-16