Rand Capital Corp. (RAND)

Sector:
FINANCE
Industry:
CORPORATE FINANCE
SIC:
CEO:
Daniel P. Penberthy
Employees:
5
2200 RAND BUILDING, BUFFALO, NY 14203
7168530802

Rand Capital Corporation was founded in 1969 and is based in Buffalo, New York. Firm prefers to make investments through equity or debt instruments in lower middle market and in small to medium-sized privately held companies. Firm invests in healthcare, consumer products, manufacturing, software, and professional services.

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Funds Holding RAND (via 13F filings)

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*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding RAND

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Recent Filings

Financial Reporting

Ownership

  • 4: filed on 2022-11-14 by JAROSLAWSKY CARI L
  • 4: filed on 2022-09-02 by GUSKY ADAM SAMUEL
  • 4: filed on 2022-08-26 by GUSKY ADAM SAMUEL
  • 4: filed on 2022-08-24 by GUSKY ADAM SAMUEL
  • 4: filed on 2022-06-08 by PENBERTHY DANIEL P
  • 4: filed on 2022-05-17 by KAILBOURNE ERLAND E
  • 4: filed on 2022-05-17 by GUSKY ADAM SAMUEL
  • 4: filed on 2022-05-11 by GUSKY ADAM SAMUEL
  • 4: filed on 2022-05-11 by GODLEY BENJAMIN E
  • 4: filed on 2022-03-15 by GUSKY ADAM SAMUEL

    • Events (8k)

  • 8-K: filed on 2022-06-27:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2022-04-22:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2021-12-30:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 2.01: Completion of Acquisition or Disposition of Assets
    Item 8.01: Other Events
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-11-12:
    Item 5.03: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-11-03:
    Item 2.04: Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement
  • 8-K: filed on 2021-10-25:
    Item 5.02: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2021-04-23:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2021-01-04:
    Item 1.01: Entry into a Material Definitive Agreement
    Item 1.02: Termination of a Material Definitive Agreement
    Item 9.01: Financial Statements and Exhibits
  • 8-K: filed on 2020-12-16:
    Item 5.07: Submission of Matters to a Vote of Security Holders
  • 8-K: filed on 2020-06-15:
    Item 8.01: Other Events

    • Proxy

    Prospectus

    All

    Open Market Buys/Sells Last 60 Days

    Open Market Buys (P)

    1 Thousand total shares from 2 transactions

    Open Market Sells (S)

    none

    Exercise Derivative Conversion (M)

    none

    Current/Former Insiders

    Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

    JAROSLAWSKY CARI L

    • Director
    		 1,000 2022-11-09 2

    GUSKY ADAM SAMUEL

    • Director
    		 19,330 2022-08-31 6

    PENBERTHY DANIEL P PRESIDENT AND CEO

    • Officer
    		 16,269 2022-06-07 1

    KAILBOURNE ERLAND E

    • Director
    		 10,000 2022-05-16 3

    GODLEY BENJAMIN E

    • Director
    		 20,000 2022-05-10 1

    ZAK ROBERT M

    • Director
    		 18,409 2022-03-11 1

    EASTGATE HEATHER CHIEF COMPLIANCE OFFICER

    • Officer
    		 0 2022-01-27 1

    EAST ASSET MANAGEMENT, LLC

    • 10% Owner
    		 1,658,212 2021-12-10 3

    BRECHTEL MARGARET EVP, TREAS., CFO & SEC.

    • Officer
    		 0 2021-12-01 1

    STONE NANCY MARIE CHIEF COMPLIANCE OFFICER

    • Officer
    		 0 2021-12-01 1

    GRUM ALLEN F CHIEF EXECUTIVE OFFICER

    • Officer
    • Director
    		 33,608 2020-12-31 0

    USER-FRIENDLY HOLDING, LLC

    USER-FRIENDLY PHONE BOOK, LLC

    • 10% Owner
    		 1,455,993 2018-06-12 0

    NEWMAN REGINALD B II

    • Director
    		 172,730 2018-03-23 0

    UTILITY SERVICE HOLDING CO., INC.

    • 10% Owner
    		 1,165,946 2017-03-01 0

    COLMAC HOLDINGS LTD

    • 10% Owner
    		 No longer subject to file 2016-12-13 0

    KENZIE ROSS B

    • Director
    		 113,000 2016-12-13 0

    MCLEESE ROBERT S

    • Director
    • 10% Owner
    		 810,000 2015-01-29 0

    ORR E WYCLIFFE JR

    • Director
    		 0 2015-01-29 0

    RAND JAYNE K

    • Director
    		 115,433 2011-04-11 0

    MCLEESE WILLIS S

    • Director
    • 10% Owner
    		 810,000 2009-08-12 0

    Insider Transactions Last 60 Days

    Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
    Disposed    		 Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days

    JAROSLAWSKY CARI L - Director

    		2022-11-14 09:43:02 -0500 2022-11-10 P 268 $15.00 a 1,000 direct -1.3605 0.0 1 -1.3605 2

    JAROSLAWSKY CARI L - Director

    		2022-11-14 09:43:02 -0500 2022-11-09 P 732 $14.97 a 732 direct -1.3605 0.0 1 -1.3605 2

    * -

    Transaction Code Definitions
    Code Definition
    A Grant, award or other acquisition pursuant to Rule 16b-3(d)
    C Conversion of derivative security
    D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
    E Expiration of short derivative position
    F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
    G Bona fide gift
    H Expiration (or cancellation) of long derivative position with value received
    I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
    J Other acquisition or disposition
    L Small acquisition under Rule 16a-6
    M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
    O Exercise of out-of-the-money derivative security
    P Open market or private purchase of non-derivative or derivative security
    S Open market or private sale of non-derivative or derivative security
    U Disposition pursuant to a tender of shares in a change of control transaction
    W Acquisition or disposition by will or the laws of descent and distribution
    X Exercise of in-the-money or at-the-money derivative security
    Z Deposit into or withdrawal from voting trust

    IBR Securities Loan Availability

    Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

    Security Date/Time Rebate Rate Fee Rate Shares Available
    RAND CAPITAL CORP RAND 2022-11-25 22:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 21:45:04 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 21:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 20:45:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 20:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 19:45:04 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 19:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 18:45:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 18:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 17:45:04 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 17:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 16:45:04 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 16:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 15:45:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 15:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 14:45:04 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 14:15:04 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 13:45:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 13:15:03 UTC 3.0655 0.7545 2000
    RAND CAPITAL CORP RAND 2022-11-25 12:45:03 UTC 3.0655 0.7545 2000

    Current Active Short Positions

    Holder Issuer Net Short Position Position Date Origin

    No recent transactions

    *** To see all congressional transactions (since 2022) for this stock, please use the congressional transaction search page***

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