Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| RAND CAPITAL CORPRAND · Entity 7445 | Director · Chief Executive Officer | December 31, 2020 | February 12, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
RAND CAPITAL CORP
Report date December 31, 2020 · Filed February 12, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,998 |
Reported balance
Holding disclosure · report date 2020-12-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 15,998 F1: On March 3, 2020, Rand Capital Corporation (the "Issuer") declared a special dividend, which, subject to an election by each shareholder and proration limitations, was paid partially in cash and partially in shares of the Issuer's common stock. The reporting person's shares reported in this report include the shares of the Issuer's common stock acquired pursuant to the special dividend. F2: On May 21, 2020, the Issuer completed a 1-for-9 reverse stock split of the Issuer's common stock. The reporting person's shares reported in this report reflect the effect of the 1-for-9 reserve stock split. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 17,610 |
Reported balance
Holding disclosure · report date 2020-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 17,610 F1: On March 3, 2020, Rand Capital Corporation (the "Issuer") declared a special dividend, which, subject to an election by each shareholder and proration limitations, was paid partially in cash and partially in shares of the Issuer's common stock. The reporting person's shares reported in this report include the shares of the Issuer's common stock acquired pursuant to the special dividend. F2: On May 21, 2020, the Issuer completed a 1-for-9 reverse stock split of the Issuer's common stock. The reporting person's shares reported in this report reflect the effect of the 1-for-9 reserve stock split. |
Filing footnotes · ownership attribution and instrument terms
F1: On March 3, 2020, Rand Capital Corporation (the "Issuer") declared a special dividend, which, subject to an election by each shareholder and proration limitations, was paid partially in cash and partially in shares of the Issuer's common stock. The reporting person's shares reported in this report include the shares of the Issuer's common stock acquired pursuant to the special dividend.
F2: On May 21, 2020, the Issuer completed a 1-for-9 reverse stock split of the Issuer's common stock. The reporting person's shares reported in this report reflect the effect of the 1-for-9 reserve stock split.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 13, 2016 Filed Dec 14, 2016 22:06 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 25,000 | $3.00 | $75,000.00 |
DisclosureSEC source: 0000899243-16-035550 · doc4.xml · nonDerivative · entry 2 GRUM ALLEN F · CIK 0001057072 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 173,642 Read SEC document |
| December 13, 2016 Filed Dec 14, 2016 22:06 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 25,000 | $3.00 | $75,000.00 |
DisclosureSEC source: 0000899243-16-035550 · doc4.xml · nonDerivative · entry 1 GRUM ALLEN F · CIK 0001057072 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,642 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.