Amended Statement of Ownership (sc 13g/a)
July 28 2017 - 1:01PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
(Rule 13d-102)
Under the Securities Exchange Act
of 1934
(Amendment No. 4)*
Rand
Capital Corporation
|
(Name of Issuer)
|
|
Common Stock, $0.10 par value
|
(Title of Class of Securities)
|
|
752185108
|
(CUSIP Number)
|
|
March 21, 2017
|
(Date of Event Which Requires Filing of this Statement)
|
Check the appropriate
box to designate the rule pursuant to which this Schedule is filed:
*The remainder
of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject
class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior
cover page.
The information
required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
SCHEDULE 13G
CUSIP NO. 752185108
|
2 of 5
|
1
|
NAMES OF REPORTING PERSONS
Utility Service Holding
Company, Inc.
|
2
|
CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP
(a)
¨
(b)
¨
|
3
|
SEC USE ONLY
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
|
5
|
SOLE VOTING POWER
1,165,946
|
6
|
SHARED VOTING POWER
0
|
7
|
SOLE DISPOSITIVE POWER
1,165,946
|
8
|
SHARED DISPOSITIVE POWER
0
|
9
|
AGGREGATE AMOUNT BENEFICIALLY
OWNED BY EACH REPORTING PERSON
1,165,946
|
10
|
CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
¨
|
11
|
PERCENT OF CLASS REPRESENTED
BY AMOUNT IN ROW (9)
18.4%
|
12
|
TYPE OF REPORTING PERSON
CO
|
|
|
|
|
SCHEDULE 13G
CUSIP NO. 752185108
|
3 of 5
|
|
Item 1(a).
|
Name
of Issuer:
|
Rand
Capital Corporation, Inc.
|
Item 1(b).
|
Address
of Issuer’s Principal Executive Offices:
|
2200 Rand Building, Buffalo,
NY, 14203.
|
Items 2(a).
|
Name of Persons Filing:
|
Utility
Service Holding Company, Inc.
|
Items 2(b).
|
Address of Principal Business
Office or, if None, Residence:
|
P.O.
Box 120, Warthen, Georgia 31094.
Delaware
|
Item 2(d).
|
Title
of Class of Securities:
|
Common
Stock, $0.10 par value per share
752185108
|
Item 3.
|
If this statement is
filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the
person filing is a:
|
|
(a)
|
¨
Broker
or dealer registered under section 15 of the Act (15 U.S.C. 78o).
|
|
(b)
|
¨
Bank
as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
|
|
(c)
|
¨
Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
|
|
(d)
|
¨
Investment
company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
|
|
(e)
|
¨
An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
|
|
(f)
|
¨
An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
|
|
(g)
|
¨
A
parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
SCHEDULE 13G
CUSIP NO. 752185108
|
4 of 5
|
|
(h)
|
¨
A
savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act
(12 U.S.C. 1813);
|
|
(i)
|
¨
A
church plan that is excluded from the definition of an investment company under section
3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
|
|
(j)
|
¨
Group,
in accordance with §240.13d-1(b)(1)(ii)(J).
|
|
(a)
|
Amount beneficially owned: 1,165,946
|
|
(b)
|
Percent of class: 18.4%
|
|
(c)
|
Number of shares to which
such Reporting Persons have:
|
|
(i)
|
Sole power to vote or direct
the vote: 1,165,946
|
|
(ii)
|
Shared power to vote or direct
the vote: 0
|
|
(iii)
|
Sole power to dispose or to
direct the disposition of: 1,165,946
|
|
(iv)
|
Shared power to dispose of or
direct the disposition of: 0
|
|
Item 5.
|
Ownership of Five Percent
or Less of a Class.
|
If this statement is being
filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following
¨
.
|
Item 6.
|
Ownership of More than
Five Percent on Behalf of Another Person.
|
Not Applicable.
|
Item 7.
|
Identification and Classification
of the Subsidiary Which Acquired the Security Being Reported By the Parent Holding Company.
|
Not Applicable.
|
Item 8.
|
Identification and Classification
of Members of the Group.
|
Not Applicable.
|
Item 9.
|
Notice of Dissolution
of a Group.
|
Not Applicable.
SCHEDULE 13G
CUSIP NO. 752185108
|
5 of 5
|
By signing below I certify
that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course
of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control
of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction
having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.
SIGNATURE
After reasonable
inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete
and correct.
Dated:
|
July 28, 2017
|
|
|
|
/s/ Carl S. Cummings, Sr.
|
|
Utility Service Holding
Company, Inc.
|
|
By: Carl S. Cummings,
Sr.
|
|
Title: President
|
Rand Capital (NASDAQ:RAND)
Historical Stock Chart
From Jun 2024 to Jul 2024
Rand Capital (NASDAQ:RAND)
Historical Stock Chart
From Jul 2023 to Jul 2024