Initial Statement of Beneficial Ownership (3)
June 21 2018 - 4:19PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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User-Friendly Holding, LLC
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/12/2018
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3. Issuer Name
and
Ticker or Trading Symbol
RAND CAPITAL CORP [RAND]
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(Last)
(First)
(Middle)
10200 GROGANS MILL RD., SUITE 440
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
THE WOODLANDS, TX 77380
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
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X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock, par value $0.10 per share
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1455993
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I
(1)
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See footnote
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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The shares of common stock reported herein are owned directly by User-Friendly Phone Book, LLC, a Delaware limited liability company ("UFPB"). UFPB is a wholly-owned subsidiary of, and is controlled by, User-Friendly Holding, LLC, a Delaware limited liability company ("UFH"). Jeffrey T. Stevenson controls the board of managers of UFH. This report shall not be deemed an admission that UFPB, UFH or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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User-Friendly Holding, LLC
10200 GROGANS MILL RD., SUITE 440
THE WOODLANDS, TX 77380
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X
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User-Friendly Phone Book, LLC
10200 GROGANS MILL RD., SUITE 440
THE WOODLANDS, TX 77380
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X
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Signatures
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User-Friendly Holding, LLC, By: /s/ Bruce Howard, Chief Executive Officer
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6/21/2018
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**
Signature of Reporting Person
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Date
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User-Friendly Phone Book, LLC, By: /s/ Bruce Howard, Chief Executive Officer
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6/21/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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