Current Report Filing (8-k)
March 10 2023 - 6:46AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date
of report (Date of earliest event reported): March 10, 2023
RAND
CAPITAL CORPORATION
(Exact
Name of Registrant as Specified in Its Charter)
New York |
|
814-00235 |
|
16-0961359 |
(State or Other Jurisdiction
of Incorporation) |
|
(Commission
File Number) |
|
(I.R.S. Employer
Identification Number) |
1405
Rand Building, Buffalo, NY 14203
(Address
of Principal Executive Offices) (Zip Code)
(716)
853-0802
(Registrant’s
Telephone Number, Including Area Code)
Not
Applicable
(Former
Name or Former Address, if Changed Since Last Report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
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☐ |
Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425) |
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☐ |
Soliciting material pursuant to Rule 14a-12 under the
Exchange Act (17 CFR 240.14a-12) |
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☐ |
Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b)) |
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☐ |
Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class |
|
Trading
Symbol(s) |
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Name
of each exchange on which registered |
Common Stock, $0.10 par
value |
|
RAND |
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Nasdaq Capital Market |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405)
or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 2.02. | Results
of Operations and Financial Condition. |
On
March 10, 2023, Rand Capital Corporation (the “Company”) issued a press release announcing its results for the fourth quarter
and year ended December 31, 2022. A copy of the release is furnished with this report as Exhibit 99.1 and is incorporated by reference
into this Item 2.02.
The
information contained in this report under Item 2.02 is being furnished and shall not be deemed filed for purposes of Section 18 of the
Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section.
The information contained in this report under Item 2.02 shall not be incorporated by reference into any registration statement or other
document filed pursuant to the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific
reference in such filing.
Item 7.01. | Regulation
FD Disclosure. |
The
Company has updated its earnings conference call slide presentation for the fourth quarter and year ended December 31, 2022, and will
make it available on the Company’s website at www.randcapital.com, under “Investors”. The slide presentation will be
referenced during the Company’s earnings conference call. The information found on, or otherwise accessible through, the Company’s
website is not incorporated by reference herein.
Item 9.01. | Financial
Statements and Exhibits. |
(d)
Exhibits
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
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RAND
CAPITAL CORPORATION |
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Date:
March 10, 2023 |
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By:
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/s/
Margaret Brechtel |
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Name: |
Margaret
Brechtel |
|
Title: |
Chief
Financial Officer |
Rand Capital (NASDAQ:RAND)
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