Initial Statement of Beneficial Ownership (3)
December 14 2021 - 4:42PM
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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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
*
Stone Nancy Marie |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/1/2021
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3. Issuer Name and Ticker or Trading Symbol
RAND CAPITAL CORP [RAND]
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(Last)
(First)
(Middle)
C/O RAND CAPITAL CORPORATION, 14 LAFAYETTE SQUARE, SUITE 1405 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Compliance Officer / |
(Street)
BUFFALO, NY 14203
(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) |
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: |
Remarks: (1) Daniel Penberthy is signing on behalf of Ms. Stone pursuant to a power of attorney dated December 1, 2021, which is filed herewith as Exhibit 24. Exhibit 24 - Power of Attorney |
No securities are beneficially owned. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Stone Nancy Marie C/O RAND CAPITAL CORPORATION 14 LAFAYETTE SQUARE, SUITE 1405 BUFFALO, NY 14203 |
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| Chief Compliance Officer |
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Signatures
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/s/ Daniel Penberthy on behalf of Nancy Stone (1) | | 12/14/2021 |
**Signature of Reporting Person | Date |
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