East Asset Management, LLC 4
4 · RAND CAPITAL CORP · Filed Aug 28, 2020
Insider Transaction Report
Form 4
East Asset Management, LLC
10% Owner
Transactions
- Purchase
Common Stock
2020-08-27$11.25/sh+1$11→ 1,628,485 total - Purchase
Common Stock
2020-08-28$11.25/sh+3,328$37,440→ 1,631,813 total - Purchase
Common Stock
2020-08-26$11.24/sh+1,671$18,782→ 1,628,484 total
Footnotes (3)
- [F1]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.
- [F2]Securities beneficially owned have been adjusted to take into account the reverse stock split effective as of the close of business on May 21, 2020.
- [F3]Includes shares acquired in connection with Rand Capital Corporation's distribution declared on March 3, 2020 since the filing of East Asset Management's previous beneficial ownership report on Form 3 on November 15, 2019.