Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Abacus Global Management, Inc.ABX · Entity 5026 | Director | March 12, 2026 | March 16, 2026 |
| Callodine Specialty Income FundCALIX · Entity 76117 | 10% owner | August 15, 2025 | August 22, 2025 |
| RAND CAPITAL CORPRAND · Entity 7445 | Director | September 15, 2025 | September 16, 2025 |
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.
Abacus Global Management, Inc.
Report date March 12, 2026 · Filed March 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 86,644 |
Reported balance
After 2026-03-12 transaction · row 1
1 source rowRow 1 · 2026-03-12 · Grant · Acquired 17,327 · Balance 86,644 |
Callodine Specialty Income Fund
Report date August 15, 2025 · Filed August 22, 2025
Jointly reported with East Asset Management, LLC, Pegula Terrence M.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class I SharesSEC Table I · non-derivative | Direct | 2,500,000 |
Reported balance
Holding disclosure · report date 2025-08-15 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,500,000 F1: Adam Gusky may be deemed to have voting and dispositive power over shares of the issuer held by East Asset Management, LLC ("EAM") due to his position as chief investment officer of EAM. However, Mr. Gusky does not have any pecuniary interest in those shares and so no shares of the issuer are beneficially owned by Mr. Gusky as determined under Rule 16a-1(a)(2). |
| Class I SharesSEC Table I · non-derivative | IndirectBy East Asset Management, LLC | 2,500,000 |
Reported balance
Holding disclosure · report date 2025-08-15 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,500,000 F2: These shares are held directly by EAM. Revocable trusts, with Terrence M. Pegula as the trustee having investment control, are the sole members of EAM. As such, Terrence M. Pegula may be deemed to share beneficial ownership of the shares held by EAM. Terrence M. Pegula disclaim any beneficial ownership of the shares held by EAM other than to the extent of any pecuniary interest he may have therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Adam Gusky may be deemed to have voting and dispositive power over shares of the issuer held by East Asset Management, LLC ("EAM") due to his position as chief investment officer of EAM. However, Mr. Gusky does not have any pecuniary interest in those shares and so no shares of the issuer are beneficially owned by Mr. Gusky as determined under Rule 16a-1(a)(2).
F2: These shares are held directly by EAM. Revocable trusts, with Terrence M. Pegula as the trustee having investment control, are the sole members of EAM. As such, Terrence M. Pegula may be deemed to share beneficial ownership of the shares held by EAM. Terrence M. Pegula disclaim any beneficial ownership of the shares held by EAM other than to the extent of any pecuniary interest he may have therein.
RAND CAPITAL CORP
Report date September 15, 2025 · Filed September 16, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy LLC | 33,546 |
Last balance in matching sequence
After 2025-09-15 transaction · row 12
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
12 source rowsRow 1 · 2025-09-15 · Purchase · Acquired 100 · Balance 32,616 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 2 · 2025-09-15 · Purchase · Acquired 100 · Balance 32,716 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 3 · 2025-09-15 · Purchase · Acquired 25 · Balance 32,741 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 4 · 2025-09-15 · Purchase · Acquired 10 · Balance 32,751 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 5 · 2025-09-15 · Purchase · Acquired 10 · Balance 32,761 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 6 · 2025-09-15 · Purchase · Acquired 100 · Balance 32,861 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 7 · 2025-09-15 · Purchase · Acquired 100 · Balance 32,961 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 8 · 2025-09-15 · Purchase · Acquired 25 · Balance 32,986 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 9 · 2025-09-15 · Purchase · Acquired 10 · Balance 32,996 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 10 · 2025-09-15 · Purchase · Acquired 100 · Balance 33,096 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 11 · 2025-09-15 · Purchase · Acquired 250 · Balance 33,346 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Row 12 · 2025-09-15 · Purchase · Acquired 200 · Balance 33,546 F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC.
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 |
|---|---|---|---|---|---|---|
| August 24, 2022 Filed Aug 26, 2022 21:06 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 16 | $14.50 | $232.00 |
DisclosureSEC source: 0001493152-22-024194 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 18,402 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 23, 2022 Filed Aug 24, 2022 20:43 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 42 | $14.50 | $609.00 |
DisclosureSEC source: 0001493152-22-023965 · ownership.xml · nonDerivative · entry 3 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 18,386 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 23, 2022 Filed Aug 24, 2022 20:43 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 4 | $14.25 | $57.00 |
DisclosureSEC source: 0001493152-22-023965 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 18,344 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 22, 2022 Filed Aug 24, 2022 20:43 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 102 | $14.25 | $1,453.50 |
DisclosureSEC source: 0001493152-22-023965 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 18,340 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| May 16, 2022 Filed May 17, 2022 21:07 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1 | $14.75 | $14.75 |
DisclosureSEC source: 0001493152-22-014210 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 18,238 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| May 13, 2022 Filed May 17, 2022 21:07 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 112 | $14.40 | $1,612.80 |
DisclosureSEC source: 0001493152-22-014210 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 18,237 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| May 11, 2022 Filed May 11, 2022 22:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,500 | $14.75 | $22,125.00 |
DisclosureSEC source: 0001493152-22-012887 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 18,125 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| May 10, 2022 Filed May 11, 2022 22:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 7,544 | $14.88 | $112,254.72 |
DisclosureSEC source: 0001493152-22-012887 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 16,625 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| March 14, 2022 Filed Mar 15, 2022 21:15 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 500 | $16.22 | $8,110.00 |
DisclosureSEC source: 0001493152-22-006898 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 9,081 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| March 11, 2022 Filed Mar 15, 2022 21:15 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,000 | $15.49 | $15,490.00 |
DisclosureSEC source: 0001493152-22-006898 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 8,581 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 17, 2021 Filed Nov 18, 2021 02:10 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,452 | $16.25 | $23,595.00 |
DisclosureSEC source: 0001493152-21-029160 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 7,581 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 15, 2021 Filed Nov 18, 2021 02:10 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 6 | $15.95 | $95.70 |
DisclosureSEC source: 0001493152-21-029160 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 6,129 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 113 | $15.80 | $1,785.40 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 9 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 6,123 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1 | $15.79 | $15.79 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 8 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 6,010 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 12, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 75 | $16.00 | $1,200.00 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 7 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 6,009 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 11, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 85 | $15.70 | $1,334.50 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 6 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 5,934 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 11, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 4 | $15.80 | $63.20 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 5 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 5,849 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 10, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 100 | $15.94 | $1,594.00 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 4 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 5,845 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 10, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 200 | $15.91 | $3,182.00 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 3 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 5,745 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 10, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 3 | $15.66 | $46.98 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 5,545 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| November 10, 2021 Filed Nov 16, 2021 02:30 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 121 | $15.75 | $1,905.75 |
DisclosureSEC source: 0001493152-21-028824 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 5,542 F1 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| June 03, 2021 Filed Nov 2, 2022 20:50 UTC | Abacus Global Management, Inc. ERESU · Entity 5026 | PurchaseClass A Common Stock | 566 | $9.95 | $5,631.70 |
DisclosureSEC source: 0000899243-22-034771 · doc4.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By AG Energy, LLC Disclosed balance after: 3,018 F1 · shares: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F1 · balance_after: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Reporting Person is the sole member of AG Energy, LLC. Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 19:24 UTC | Abacus Global Management, Inc. ERESU · Entity 5026 | PurchaseClass A Common Stock | 250 | $9.95 | $2,487.75 |
DisclosureSEC source: 0001209191-20-057410 · doc4.xml · nonDerivative · entry 3 Gusky Adam Samuel · CIK 0001792912 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By AG Energy, LLC Disclosed balance after: 2,452 F1 · shares: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F1 · balance_after: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Reporting Person is the sole member of AG Energy, LLC. Read SEC document |
| November 09, 2020 Filed Nov 9, 2020 19:24 UTC | Abacus Global Management, Inc. ERESU · Entity 5026 | PurchaseClass A Common Stock | 200 | $10.00 | $2,000.00 |
DisclosureSEC source: 0001209191-20-057410 · doc4.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By AG Energy, LLC Disclosed balance after: 2,202 F1 · shares: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F1 · balance_after: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Reporting Person is the sole member of AG Energy, LLC. Read SEC document |
| November 05, 2020 Filed Nov 9, 2020 19:24 UTC | Abacus Global Management, Inc. ERESU · Entity 5026 | PurchaseClass A Common Stock | 302 | $9.91 | $2,992.82 |
DisclosureSEC source: 0001209191-20-057410 · doc4.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By AG Energy, LLC Disclosed balance after: 2,002 F1 · shares: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F1 · balance_after: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Reporting Person is the sole member of AG Energy, LLC. Read SEC document |
| October 28, 2020 Filed Oct 29, 2020 12:48 UTC | Abacus Global Management, Inc. ERESU · Entity 5026 | PurchaseClass A Common Stock | 500 | $9.94 | $4,970.00 |
DisclosureSEC source: 0001209191-20-056189 · doc4.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By AG Energy, LLC Disclosed balance after: 1,700 F1 · shares: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F1 · balance_after: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Reporting Person is the sole member of AG Energy, LLC. Read SEC document |
| October 27, 2020 Filed Oct 29, 2020 12:48 UTC | Abacus Global Management, Inc. ERESU · Entity 5026 | PurchaseClass A Common Stock | 1,200 | $9.97 | $11,964.00 |
DisclosureSEC source: 0001209191-20-056189 · doc4.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By AG Energy, LLC Disclosed balance after: 1,200 F1 · shares: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F1 · balance_after: Represents securities underlying units of the Issuer. Each unit consists of one share of Class A Common Stock of the Issuer and one half of one warrant. Each whole warrant entitles the Reporting Person to purchase one share of the Issuer's Class A Common Stock at a stock price of $11.50 per share. The warrants will become exercisable, if at all, on the later of 30 days after the completion of the Issuer's initial business combination or 12 months from the closing of the Issuer's initial public offering. The warrants will expire five years after the completion of the Issuer's initial business combination. F2 · ownership.nature: The Reporting Person is the sole member of AG Energy, LLC. Read SEC document |
| August 24, 2020 Filed Aug 24, 2020 21:45 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,019 | $11.62 | $11,840.78 |
DisclosureSEC source: 0001493152-20-016643 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 5,421 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.15 to $11.64 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 21, 2020 Filed Aug 24, 2020 21:45 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,278 | $11.20 | $14,313.60 |
DisclosureSEC source: 0001493152-20-016643 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 4,402 F3 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.14 to $11.40 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 20, 2020 Filed Aug 24, 2020 21:45 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 25 | $11.21 | $280.25 |
DisclosureSEC source: 0001493152-20-016643 · ownership.xml · nonDerivative · entry 3 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 3,124 F4 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.20 to $11.30 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 19, 2020 Filed Aug 19, 2020 22:10 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 500 | $11.18 | $5,590.00 |
DisclosureSEC source: 0001493152-20-016360 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 3,099 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.12 to $11.25 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 18, 2020 Filed Aug 19, 2020 22:10 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 500 | $11.15 | $5,575.00 |
DisclosureSEC source: 0001493152-20-016360 · ownership.xml · nonDerivative · entry 2 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 2,599 F2 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| August 17, 2020 Filed Aug 19, 2020 22:10 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 599 | $11.09 | $6,642.91 |
DisclosureSEC source: 0001493152-20-016360 · ownership.xml · nonDerivative · entry 3 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 2,099 F3 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $11.07 to $11.15 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. Read SEC document |
| June 03, 2020 Filed Jun 5, 2020 22:40 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,500 | $10.92 | $16,380.00 |
DisclosureSEC source: 0001493152-20-010700 · ownership.xml · nonDerivative · entry 1 Gusky Adam Samuel · CIK 0001792912 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By LLC Disclosed balance after: 1,500 F1 · price: The price reported in Column 4 is a weighted-average price, rounded to the nearest hundredth. These shares were purchased in multiple transactions at prices ranging from $10.80 to $11.00 per share, inclusive. The reporting person undertakes to provide upon request by the staff of the Securities and Exchange Commission, Rand Capital Corporation (the "Issuer") or a security holder of the Issuer full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.direct: These securities are held by AG Energy, LLC. These securities may be deemed to be beneficially owned by Mr. Gusky by virtue of his control of AG Energy, LLC. 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.