East Asset Management, LLC's Form 4 filing
Rand Capital Corp (RAND) · filed Dec 13, 2021
- Accession no.
- 0001493152-21-031319
- Filed
- Dec 13, 2021
- Trade date
- Dec 10-13, 2021
- Filing delay
- 3 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market purchases total $162.8K. It was filed 3 days after the trade.
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 |
|---|---|---|---|---|---|---|---|---|
| Dec 10, 2021 | Common Stock | PPurchaseAcquired | +3,680 | $17.50 | +$64,400 | 1,652,592 | Direct | |
| Dec 13, 2021 | Common Stock | PPurchaseAcquired | +5,620 | $17.50 | +$98,350 | 1,658,212 | 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.
Remarks
(2) Daniel Penberthy is signing on behalf of Mr. Gusky pursuant to a power of attorney dated December 1, 2021, which was previously filed with the Securities and Exchange Commission as an exhibit to the Form 4 that Mr. Gusky filed on December 6, 2021.