East Asset Management, LLC's Form 4 filing
Rand Capital Corp (RAND) · filed Nov 26, 2021
- Accession no.
- 0001493152-21-029900
- Filed
- Nov 26, 2021
- Trade date
- Nov 22-24, 2021
- Filing delay
- 4 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market purchases total $11.5K. It was filed 4 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| East Asset Management, LLCCIK 0001793591 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Nov 22, 2021 | Common Stock | PPurchaseAcquired | +3 | $16.50 | +$49.5 | 1,641,643 | Direct | |
| Nov 23, 2021 | Common Stock | PPurchaseAcquired | +100 | $16.50 | +$1,650 | 1,641,743 | Direct | |
| Nov 24, 2021 | Common Stock | PPurchaseAcquired | +594 | $16.50 | +$9,801 | 1,642,337 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.