Initial Statement of Beneficial Ownership (3)
November 15 2019 - 5:02PM
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
*
East Asset Management, LLC |
2. Date of Event Requiring Statement (MM/DD/YYYY)
11/8/2019
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3. Issuer Name and Ticker or Trading Symbol
RAND CAPITAL CORP [RAND]
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(Last)
(First)
(Middle)
EAST ASSET MANAGEMENT, LLC, 7777 NW BEACON SQUARE BLVD. |
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)
BOCA RATON, FL 33487
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ 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) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 8425620 | D (1) | |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Adam Gusky may be deemed to have voting and dispositive power over these shares due to his position as chief investment officer of East Asset Management, LLC ("East"). Mr. Gusky disclaims beneficial ownership over the shares held by East. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
East Asset Management, LLC EAST ASSET MANAGEMENT, LLC 7777 NW BEACON SQUARE BLVD. BOCA RATON, FL 33487 |
| X |
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Signatures
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/s/ Adam Gusky, Chief Investment Officer, on behalf of East Asset Management, LLC | | 11/15/2019 |
**Signature of Reporting Person | Date |
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