organization · Reporting owner
East Asset Management, LLC
Disclosed activity across 3 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Abacus Global Management, Inc.ABL · Entity 5026 | 10% owner | October 13, 2023 | October 17, 2023 |
| Callodine Specialty Income FundCALIX · Entity 76117 | 10% owner | August 15, 2025 | August 22, 2025 |
| RAND CAPITAL CORPRAND · Entity 7445 | 10% owner | December 10, 2021 | December 13, 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.
Abacus Global Management, Inc.
Report date October 13, 2023 · Filed October 17, 2023
Jointly reported with Pegula Terrence M., East Sponsor, LLC
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 11,417,000 |
Reported balance
After 2023-10-13 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2023-10-13 · Other · Acquired 2,802,000 · Balance 11,417,000 F1: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022 (as amended, the "Merger Agreement"), by and among Abacus Life, Inc. (the "Issuer"), LMA Merger Sub, LLC, Abacus Merger Sub, LLC, Longevity Market Assets, LLC and Abacus Settlements, LLC, the Issuer completed its initial business combination. On October 13, 2023, each of Jay Jackson, Todd Sean McNealy, Kevin Scott Kirby and Matthew A. Ganovsky (each a "Transferor" and together, the "Transferors") and East Sponsor, LLC ("East Sponsor"), to achieve their intended allocation of shares under the Merger Agreement, entered into a Transfer Agreement under which each of the Transferors agreed to and did convey to East Sponsor, and East Sponsor accepted from each Transferor, free and clear of all encumbrances, 700,500 of their respective shares of Issuer's Common Stock. F2: East Sponsor is the record holder of these securities. East Asset Management, LLC ("East Asset Management") is the managing member of East Sponsor. As a result, East Asset Management may be deemed to share beneficial ownership of the securities held by East Sponsor. F3: Trusts controlled by Terrence M. Pegula are the sole members of East Asset Management. As such, Mr. Pegula may be deemed to share beneficial ownership of the securities held by East Sponsor. Mr. Pegula disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022 (as amended, the "Merger Agreement"), by and among Abacus Life, Inc. (the "Issuer"), LMA Merger Sub, LLC, Abacus Merger Sub, LLC, Longevity Market Assets, LLC and Abacus Settlements, LLC, the Issuer completed its initial business combination. On October 13, 2023, each of Jay Jackson, Todd Sean McNealy, Kevin Scott Kirby and Matthew A. Ganovsky (each a "Transferor" and together, the "Transferors") and East Sponsor, LLC ("East Sponsor"), to achieve their intended allocation of shares under the Merger Agreement, entered into a Transfer Agreement under which each of the Transferors agreed to and did convey to East Sponsor, and East Sponsor accepted from each Transferor, free and clear of all encumbrances, 700,500 of their respective shares of Issuer's Common Stock.
F2: East Sponsor is the record holder of these securities. East Asset Management, LLC ("East Asset Management") is the managing member of East Sponsor. As a result, East Asset Management may be deemed to share beneficial ownership of the securities held by East Sponsor.
F3: Trusts controlled by Terrence M. Pegula are the sole members of East Asset Management. As such, Mr. Pegula may be deemed to share beneficial ownership of the securities held by East Sponsor. Mr. Pegula disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein.
Callodine Specialty Income Fund
Report date August 15, 2025 · Filed August 22, 2025
Jointly reported with Pegula Terrence M., Gusky Adam Samuel
| 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 December 10, 2021 · Filed December 13, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,658,212 |
Last balance in matching sequence
After 2021-12-13 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-12-10 · Purchase · Acquired 3,680 · Balance 1,652,592 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. Row 2 · 2021-12-13 · Purchase · Acquired 5,620 · Balance 1,658,212 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. |
Filing footnotes · ownership attribution and instrument terms
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.
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 |
|---|---|---|---|---|---|---|
| October 13, 2023 Filed Oct 17, 2023 17:00 UTC | Abacus Global Management, Inc. ABL · Entity 5026 | OtherCommon Stock | 2,802,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-23-053799 · ownership.xml · nonDerivative · entry 1 Pegula Terrence M. · CIK 0001818529 · 10% owner East Asset Management, LLC · CIK 0001793591 · 10% owner East Sponsor, LLC · CIK 0001818559 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 11,417,000 F1 · kind: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022 (as amended, the "Merger Agreement"), by and among Abacus Life, Inc. (the "Issuer"), LMA Merger Sub, LLC, Abacus Merger Sub, LLC, Longevity Market Assets, LLC and Abacus Settlements, LLC, the Issuer completed its initial business combination. On October 13, 2023, each of Jay Jackson, Todd Sean McNealy, Kevin Scott Kirby and Matthew A. Ganovsky (each a "Transferor" and together, the "Transferors") and East Sponsor, LLC ("East Sponsor"), to achieve their intended allocation of shares under the Merger Agreement, entered into a Transfer Agreement under which each of the Transferors agreed to and did convey to East Sponsor, and East Sponsor accepted from each Transferor, free and clear of all encumbrances, 700,500 of their respective shares of Issuer's Common Stock. F1 · shares: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022 (as amended, the "Merger Agreement"), by and among Abacus Life, Inc. (the "Issuer"), LMA Merger Sub, LLC, Abacus Merger Sub, LLC, Longevity Market Assets, LLC and Abacus Settlements, LLC, the Issuer completed its initial business combination. On October 13, 2023, each of Jay Jackson, Todd Sean McNealy, Kevin Scott Kirby and Matthew A. Ganovsky (each a "Transferor" and together, the "Transferors") and East Sponsor, LLC ("East Sponsor"), to achieve their intended allocation of shares under the Merger Agreement, entered into a Transfer Agreement under which each of the Transferors agreed to and did convey to East Sponsor, and East Sponsor accepted from each Transferor, free and clear of all encumbrances, 700,500 of their respective shares of Issuer's Common Stock. F1 · price: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022 (as amended, the "Merger Agreement"), by and among Abacus Life, Inc. (the "Issuer"), LMA Merger Sub, LLC, Abacus Merger Sub, LLC, Longevity Market Assets, LLC and Abacus Settlements, LLC, the Issuer completed its initial business combination. On October 13, 2023, each of Jay Jackson, Todd Sean McNealy, Kevin Scott Kirby and Matthew A. Ganovsky (each a "Transferor" and together, the "Transferors") and East Sponsor, LLC ("East Sponsor"), to achieve their intended allocation of shares under the Merger Agreement, entered into a Transfer Agreement under which each of the Transferors agreed to and did convey to East Sponsor, and East Sponsor accepted from each Transferor, free and clear of all encumbrances, 700,500 of their respective shares of Issuer's Common Stock. F2 · ownership.nature: East Sponsor is the record holder of these securities. East Asset Management, LLC ("East Asset Management") is the managing member of East Sponsor. As a result, East Asset Management may be deemed to share beneficial ownership of the securities held by East Sponsor. F3 · ownership.nature: Trusts controlled by Terrence M. Pegula are the sole members of East Asset Management. As such, Mr. Pegula may be deemed to share beneficial ownership of the securities held by East Sponsor. Mr. Pegula disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein. Read SEC document |
| June 30, 2023 Filed Jul 10, 2023 16:45 UTC | Abacus Global Management, Inc. ABL · Entity 5026 | ConversionClass B Common Stock · Derivative | 8,615,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-23-032396 · ownership.xml · derivative · entry 2 Pegula Terrence M. · CIK 0001818529 · 10% owner East Asset Management, LLC · CIK 0001793591 · 10% owner East Sponsor, LLC · CIK 0001818559 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Class A Common Stock · 8,615,000 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022, as amended on October 14, 2022 and April 20, 2023, by and among Abacus Life, Inc. (formerly known as East Resources Acquisition Company) (the "Issuer"), LMA Merger Sub, LLC ("LMA Merger Sub"), Abacus Merger Sub, LLC ("Abacus Merger Sub"), Longevity Market Assets, LLC ("LMA") and Abacus Settlements, LLC ("Legacy Abacus"), the Issuer completed its initial business combination (the "Business Combination"). F2 · derivative.exercise_price: (Continued footnote 1) As a result of the Business Combination, each outstanding share of Class B Common Stock, par value $0.0001 per share, of the Issuer was automatically converted into a share of Common Stock, par value $0.0001 per share ("Common Stock"), of the Issuer on a one-for-one basis. Upon the completion of the Business Combination, LMA Merger Sub merged with and into LMA, with LMA surviving such merger as a wholly owned subsidiary of the Issuer, Abacus Merger Sub merged with and into Legacy Abacus, with Legacy Abacus surviving such merger as a wholly owned subsidiary of the Issuer, and the Issuer was renamed "Abacus Life, Inc." F1 · price: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022, as amended on October 14, 2022 and April 20, 2023, by and among Abacus Life, Inc. (formerly known as East Resources Acquisition Company) (the "Issuer"), LMA Merger Sub, LLC ("LMA Merger Sub"), Abacus Merger Sub, LLC ("Abacus Merger Sub"), Longevity Market Assets, LLC ("LMA") and Abacus Settlements, LLC ("Legacy Abacus"), the Issuer completed its initial business combination (the "Business Combination"). F2 · price: (Continued footnote 1) As a result of the Business Combination, each outstanding share of Class B Common Stock, par value $0.0001 per share, of the Issuer was automatically converted into a share of Common Stock, par value $0.0001 per share ("Common Stock"), of the Issuer on a one-for-one basis. Upon the completion of the Business Combination, LMA Merger Sub merged with and into LMA, with LMA surviving such merger as a wholly owned subsidiary of the Issuer, Abacus Merger Sub merged with and into Legacy Abacus, with Legacy Abacus surviving such merger as a wholly owned subsidiary of the Issuer, and the Issuer was renamed "Abacus Life, Inc." F1 · derivative.exercise_date: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022, as amended on October 14, 2022 and April 20, 2023, by and among Abacus Life, Inc. (formerly known as East Resources Acquisition Company) (the "Issuer"), LMA Merger Sub, LLC ("LMA Merger Sub"), Abacus Merger Sub, LLC ("Abacus Merger Sub"), Longevity Market Assets, LLC ("LMA") and Abacus Settlements, LLC ("Legacy Abacus"), the Issuer completed its initial business combination (the "Business Combination"). F2 · derivative.exercise_date: (Continued footnote 1) As a result of the Business Combination, each outstanding share of Class B Common Stock, par value $0.0001 per share, of the Issuer was automatically converted into a share of Common Stock, par value $0.0001 per share ("Common Stock"), of the Issuer on a one-for-one basis. Upon the completion of the Business Combination, LMA Merger Sub merged with and into LMA, with LMA surviving such merger as a wholly owned subsidiary of the Issuer, Abacus Merger Sub merged with and into Legacy Abacus, with Legacy Abacus surviving such merger as a wholly owned subsidiary of the Issuer, and the Issuer was renamed "Abacus Life, Inc." F1 · derivative.expiration_date: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022, as amended on October 14, 2022 and April 20, 2023, by and among Abacus Life, Inc. (formerly known as East Resources Acquisition Company) (the "Issuer"), LMA Merger Sub, LLC ("LMA Merger Sub"), Abacus Merger Sub, LLC ("Abacus Merger Sub"), Longevity Market Assets, LLC ("LMA") and Abacus Settlements, LLC ("Legacy Abacus"), the Issuer completed its initial business combination (the "Business Combination"). F2 · derivative.expiration_date: (Continued footnote 1) As a result of the Business Combination, each outstanding share of Class B Common Stock, par value $0.0001 per share, of the Issuer was automatically converted into a share of Common Stock, par value $0.0001 per share ("Common Stock"), of the Issuer on a one-for-one basis. Upon the completion of the Business Combination, LMA Merger Sub merged with and into LMA, with LMA surviving such merger as a wholly owned subsidiary of the Issuer, Abacus Merger Sub merged with and into Legacy Abacus, with Legacy Abacus surviving such merger as a wholly owned subsidiary of the Issuer, and the Issuer was renamed "Abacus Life, Inc." F3 · ownership.nature: East Sponsor, LLC ("East Sponsor") is the record holder of these securities. East Asset Management, LLC ("East Asset Management") is the managing member of East Sponsor. As a result, East Asset Management may be deemed to share beneficial ownership of the securities held by East Sponsor. F4 · ownership.nature: Trusts controlled by Terrence M. Pegula are the sole members of East Asset Management. As such, Mr. Pegula may be deemed to share beneficial ownership of the securities held by East Sponsor. Mr. Pegula disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein. Read SEC document |
| June 30, 2023 Filed Jul 10, 2023 16:45 UTC | Abacus Global Management, Inc. ABL · Entity 5026 | ConversionCommon Stock | 8,615,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950170-23-032396 · ownership.xml · nonDerivative · entry 1 Pegula Terrence M. · CIK 0001818529 · 10% owner East Asset Management, LLC · CIK 0001793591 · 10% owner East Sponsor, LLC · CIK 0001818559 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnotes Disclosed balance after: 8,615,000 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022, as amended on October 14, 2022 and April 20, 2023, by and among Abacus Life, Inc. (formerly known as East Resources Acquisition Company) (the "Issuer"), LMA Merger Sub, LLC ("LMA Merger Sub"), Abacus Merger Sub, LLC ("Abacus Merger Sub"), Longevity Market Assets, LLC ("LMA") and Abacus Settlements, LLC ("Legacy Abacus"), the Issuer completed its initial business combination (the "Business Combination"). F2 · shares: (Continued footnote 1) As a result of the Business Combination, each outstanding share of Class B Common Stock, par value $0.0001 per share, of the Issuer was automatically converted into a share of Common Stock, par value $0.0001 per share ("Common Stock"), of the Issuer on a one-for-one basis. Upon the completion of the Business Combination, LMA Merger Sub merged with and into LMA, with LMA surviving such merger as a wholly owned subsidiary of the Issuer, Abacus Merger Sub merged with and into Legacy Abacus, with Legacy Abacus surviving such merger as a wholly owned subsidiary of the Issuer, and the Issuer was renamed "Abacus Life, Inc." F1 · price: On June 30, 2023, pursuant to that certain Agreement and Plan of Merger, dated as of August 30, 2022, as amended on October 14, 2022 and April 20, 2023, by and among Abacus Life, Inc. (formerly known as East Resources Acquisition Company) (the "Issuer"), LMA Merger Sub, LLC ("LMA Merger Sub"), Abacus Merger Sub, LLC ("Abacus Merger Sub"), Longevity Market Assets, LLC ("LMA") and Abacus Settlements, LLC ("Legacy Abacus"), the Issuer completed its initial business combination (the "Business Combination"). F2 · price: (Continued footnote 1) As a result of the Business Combination, each outstanding share of Class B Common Stock, par value $0.0001 per share, of the Issuer was automatically converted into a share of Common Stock, par value $0.0001 per share ("Common Stock"), of the Issuer on a one-for-one basis. Upon the completion of the Business Combination, LMA Merger Sub merged with and into LMA, with LMA surviving such merger as a wholly owned subsidiary of the Issuer, Abacus Merger Sub merged with and into Legacy Abacus, with Legacy Abacus surviving such merger as a wholly owned subsidiary of the Issuer, and the Issuer was renamed "Abacus Life, Inc." F3 · ownership.nature: East Sponsor, LLC ("East Sponsor") is the record holder of these securities. East Asset Management, LLC ("East Asset Management") is the managing member of East Sponsor. As a result, East Asset Management may be deemed to share beneficial ownership of the securities held by East Sponsor. F4 · ownership.nature: Trusts controlled by Terrence M. Pegula are the sole members of East Asset Management. As such, Mr. Pegula may be deemed to share beneficial ownership of the securities held by East Sponsor. Mr. Pegula disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest he may have therein. Read SEC document |
| December 13, 2021 Filed Dec 13, 2021 23:50 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 5,620 | $17.50 | $98,350.00 |
DisclosureSEC source: 0001493152-21-031319 · ownership.xml · nonDerivative · entry 2 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,658,212 F1 · ownership.direct: 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. Read SEC document |
| December 10, 2021 Filed Dec 13, 2021 23:50 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 3,680 | $17.50 | $64,400.00 |
DisclosureSEC source: 0001493152-21-031319 · ownership.xml · nonDerivative · entry 1 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,652,592 F1 · ownership.direct: 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. Read SEC document |
| December 06, 2021 Filed Dec 7, 2021 00:32 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 3,751 | $17.00 | $63,767.00 |
DisclosureSEC source: 0001493152-21-030636 · ownership.xml · nonDerivative · entry 2 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,648,912 F1 · ownership.direct: 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. Read SEC document |
| December 03, 2021 Filed Dec 7, 2021 00:32 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 10 | $17.00 | $170.00 |
DisclosureSEC source: 0001493152-21-030636 · ownership.xml · nonDerivative · entry 1 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,645,161 F1 · ownership.direct: 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. Read SEC document |
| November 30, 2021 Filed Dec 1, 2021 21:12 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 2,805 | $16.75 | $46,975.34 |
DisclosureSEC source: 0001493152-21-030195 · ownership.xml · nonDerivative · entry 2 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,645,151 F1 · ownership.direct: 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. Read SEC document |
| November 29, 2021 Filed Dec 1, 2021 21:12 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 9 | $16.50 | $148.50 |
DisclosureSEC source: 0001493152-21-030195 · ownership.xml · nonDerivative · entry 1 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,642,346 F1 · ownership.direct: 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. Read SEC document |
| November 24, 2021 Filed Nov 26, 2021 11:08 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 594 | $16.50 | $9,801.00 |
DisclosureSEC source: 0001493152-21-029900 · ownership.xml · nonDerivative · entry 3 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,642,337 F1 · ownership.direct: 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. Read SEC document |
| November 23, 2021 Filed Nov 26, 2021 11:08 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 100 | $16.50 | $1,650.00 |
DisclosureSEC source: 0001493152-21-029900 · ownership.xml · nonDerivative · entry 2 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,641,743 F1 · ownership.direct: 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. Read SEC document |
| November 22, 2021 Filed Nov 26, 2021 11:08 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 3 | $16.50 | $49.50 |
DisclosureSEC source: 0001493152-21-029900 · ownership.xml · nonDerivative · entry 1 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,641,643 F1 · ownership.direct: 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. Read SEC document |
| September 03, 2020 Filed Sep 8, 2020 20:53 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 2,603 | $11.21 | $29,179.63 |
DisclosureSEC source: 0001493152-20-017429 · ownership.xml · nonDerivative · entry 1 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,641,640 F1 · ownership.direct: 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. Read SEC document |
| September 02, 2020 Filed Sep 2, 2020 22:00 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,853 | $11.30 | $20,938.90 |
DisclosureSEC source: 0001493152-20-017172 · ownership.xml · nonDerivative · entry 1 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,639,037 F1 · ownership.direct: 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. Read SEC document |
| September 01, 2020 Filed Sep 2, 2020 22:00 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,700 | $11.30 | $19,210.00 |
DisclosureSEC source: 0001493152-20-017172 · ownership.xml · nonDerivative · entry 2 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,637,184 F1 · ownership.direct: 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. Read SEC document |
| August 31, 2020 Filed Sep 2, 2020 22:00 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 3,671 | $11.30 | $41,482.30 |
DisclosureSEC source: 0001493152-20-017172 · ownership.xml · nonDerivative · entry 3 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,635,484 F1 · ownership.direct: 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. Read SEC document |
| August 28, 2020 Filed Aug 28, 2020 22:05 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 3,328 | $11.25 | $37,440.00 |
DisclosureSEC source: 0001493152-20-016960 · ownership.xml · nonDerivative · entry 1 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,631,813 F1 · ownership.direct: 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. Read SEC document |
| August 27, 2020 Filed Aug 28, 2020 22:05 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1 | $11.25 | $11.25 |
DisclosureSEC source: 0001493152-20-016960 · ownership.xml · nonDerivative · entry 2 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,628,485 F1 · ownership.direct: 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. Read SEC document |
| August 26, 2020 Filed Aug 28, 2020 22:05 UTC | RAND CAPITAL CORP RAND · Entity 7445 | PurchaseCommon Stock | 1,671 | $11.24 | $18,782.04 |
DisclosureSEC source: 0001493152-20-016960 · ownership.xml · nonDerivative · entry 3 East Asset Management, LLC · CIK 0001793591 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,628,484 F2 · balance_after: 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 · balance_after: 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. F1 · ownership.direct: 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. 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.