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| CIK | 81955 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Rand Capital Corporation
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 4, 2025 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 4, 2025 |
Rand Capital Reports Second Quarter 2025 Results Exhibit 99.1 14 Lafayette Square, Suite 1405 • Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports Second Quarter 2025 Results ● Total investment income was $1.6 million, a 25% decrease from the prior-year period, primarily due to portfolio repayments and market slowdown in deal originations ● Net investment income rose to $2.5 million, or $0.83 per share, largely driven by a non-ca |
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| August 4, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand C |
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| July 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 May 29, 2025 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI I |
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| May 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 29, 2025 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission F |
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| May 5, 2025 |
Rand Capital Reports Increase in Net Investment Income for First Quarter 2025 Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 ● Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports Increase in Net Investment Income for First Quarter 2025 ● Total investment income was $2.0 million, a 3% decrease from the prior-year period, primarily due to the repayment of three debt instruments, partially offset by higher fee income ● Total expenses declined 36% year |
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| May 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 5, 2025 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 5, 2025 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| April 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 23, 2025 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 18, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 18, 2025 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 18, 2025 |
Investor Presentation, dated March 18, 2025. Exhibit 99.1 |
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| March 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 10, 2025 |
EXHIBIT 97.1 RAND CAPITAL CORPORATION CLAWBACK POLICY Approved by the Board on October 18, 2023 I. Introduction. The Board has adopted this Policy to describe the circumstances in which Covered Persons will be required to repay or return Erroneously Awarded Compensation to the Company. This Policy is designed to comply with Section 10D of the Exchange Act and any applicable rules or standards adop |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 10, 2025 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 10, 2025 |
EXHIBIT 19.1 RAND CAPITAL CORPORATION INSIDER TRADING POLICY This Insider Trading Policy (the “Policy”) describes the standards of Rand Capital Corporation (the “Company”) on trading in the Company’s securities; the securities of a publicly traded company in which the Company has made or is considering making an investment (each a “Portfolio Company”); or securities of other publicly traded compan |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [ x ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| March 10, 2025 |
Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 • Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports Strong 2024 Results with 17% Investment Income Growth, Increased Dividends, and Continued Strategic Debt Investments ● Total investment income rose 11% to $2.1 million for the fourth quarter and was up 17% to $8.6 million for full year 2024, driven by growth in interest in |
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| March 10, 2025 |
EXHIBIT 21.1 SUBSIDIARIES OF RAND CAPITAL CORPORATION Subsidiary Jurisdiction of Corporation Rand BMP Swanson Holdings Corp. New York Rand Capital Sub LLC New York Rand Carolina Skiff Holdings Corp. New York Rand DSD Holdings Corp. New York Rand Filterworks Holdings Corp. New York Rand FSS Holdings Corp. New York Rand INEA Holdings Corp. New York Rand ITA Holdings Corp. New York |
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| March 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 31, 2024 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA |
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| January 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 October 24, 2024 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA |
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| January 13, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 13, 2025 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commissi |
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| January 13, 2025 |
Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 • Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Corporation Announces Shareholder Election Results for Fourth Quarter 2024 Stock and Cash Dividend BUFFALO, NY, January 13, 2025 – Rand Capital Corporation (Nasdaq: RAND) (“Rand” or the “Company”), a business development company providing alternative financing for lower middle mar |
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| December 17, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 17, 2024 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commiss |
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| December 17, 2024 |
Exhibit 99.1 IMPORTANT INFORMATION REGARDING CASH OR STOCK ELECTION IN CONNECTION WITH RAND CAPITAL CORPORATION’s (Nasdaq: RAND) DIVIDEND PAYABLE ON JANUARY 24, 2025 Shareholders can elect to receive cash or stock for Rand Capital Corporation’s Q4 2024 Dividend December 17, 2024 On December 5, 2024, the Board of Directors of Rand Capital Corporation (“Rand”) declared a dividend of $4.20 per share |
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| December 17, 2024 |
RAND CAPITAL CORPORATION DIVIDEND ELECTION FORM Exhibit 99.2 RAND CAPITAL CORPORATION DIVIDEND ELECTION FORM You may elect to receive the Dividend, payable on January 24, 2025, in the form of cash or shares of common stock of Rand Capital Corporation by returning this Dividend Election Form. Prior to making an election, please read carefully and in its entirety the accompanying notice from Rand Capital Corporation, dated December 17, 2024, as a |
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| December 5, 2024 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 5, 2024 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commissi |
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| December 5, 2024 |
Rand Capital Corporation Declares $4.20 per Share Stock and Cash Dividend for Fourth Quarter 2024 Exhibit 99.1 14 Lafayette Square, Suite 1405 • Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Corporation Declares $4.20 per Share Stock and Cash Dividend for Fourth Quarter 2024 BUFFALO, NY, December 5, 2024 – Rand Capital Corporation (Nasdaq: RAND) (“Rand” or the “Company”), a business development company providing alternative financing for lower middle market companies, announced to |
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| November 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 R |
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| September 20, 2024 |
40-17F2 1 form40-17f2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 July 9, 2024 2. State Identification Number: AL AK AZ AR |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2024 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand C |
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| August 6, 2024 |
Rand Capital Reports 18% Increase in Total Investment Income for Second Quarter 2024 Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 ● Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports 18% Increase in Total Investment Income for Second Quarter 2024 ● Total investment income increased 18% to $2.1 million for the quarter compared with the second quarter last year driven by strong growth in interest income from an expanded portfolio of debt investments ● Ne |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 13, 2024 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission F |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| May 13, 2024 |
Rand Capital Reports 12% Increase in Total Investment Income for First Quarter 2024 Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 ● Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports 12% Increase in Total Investment Income for First Quarter 2024 ● Strategy focused on expanding portfolio composition with new debt investments drives total investment income growth of 12% to $2.1 million for the first quarter of 2024 ● Investment portfolio comprised of 70% |
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| May 8, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 7, 2024 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 31, 2023 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA |
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| March 5, 2024 |
Rand Capital Reports 27% Increase in Total Investment Income for 2023 Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 ● Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports 27% Increase in Total Investment Income for 2023 ● Portfolio expansion centered on debt investments drives total investment income growth of 11% to $1.9 million for the fourth quarter and 27% to $7.3 million for full year 2023 ● Rand’s portfolio was comprised of 64% intere |
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| March 5, 2024 |
EXHIBIT 21.1 SUBSIDIARIES OF RAND CAPITAL CORPORATION Subsidiary Jurisdiction of Corporation Rand BMP Swanson Holdings Corp. New York Rand Capital Sub LLC New York Rand Carolina Skiff Holdings Corp. New York Rand DSD Holdings Corp. New York Rand Filterworks Holdings Corp. New York Rand FSS Holdings Corp. New York Rand INEA Holdings Corp. New York Rand ITA Holdings Corp. New York Rand Somerset Hold |
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| March 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [ x ] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| March 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 5, 2024 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 24, 2024 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commissi |
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| November 21, 2023 |
14 Lafayette Square, Suite 1405 Buffalo, NY 14203 (716) 853-0802 14 Lafayette Square, Suite 1405 Buffalo, NY 14203 (716) 853-0802 November 21, 2023 VIA EDGAR Mr. |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 August 31, 2023 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA H |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 R |
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| August 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 4, 2023 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| August 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand C |
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| August 4, 2023 |
Rand Capital Reports 34% Increase in Total Investment Income for Second Quarter 2023 Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 • Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports 34% Increase in Total Investment Income for Second Quarter 2023 ● Total investment income increased 34% to $1.8 million for the quarter compared with the second quarter last year driven by strong growth in interest and fee income ● Net asset value per share (“NAV”) was $23 |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 April 27, 2023 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI |
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| May 9, 2023 |
Rand Capital Reports 65% Increase in Total Investment Income for First Quarter 2023 Exhibit 99.1 NEWS RELEASE 14 Lafayette Square, Suite 1405 • Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports 65% Increase in Total Investment Income for First Quarter 2023 ● Total investment income increased 65% to $1.85 million for the quarter compared with the first quarter last year driven by strong growth in interest, dividend and fee income ● First quarter net investment inc |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 9, 2023 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| April 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 19, 2023 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| March 17, 2023 | ||
| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 31, 2022 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA |
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| March 10, 2023 |
Rand Capital Reports 40% Increase in Total Investment Income for Fourth Quarter 2022 Exhibit 99.1 14 Lafayette Square, Suite 1405 ● Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Reports 40% Increase in Total Investment Income for Fourth Quarter 2022 ● Advanced portfolio transformation: Total investment income increased 40% to $1.7 million in the fourth quarter; Full year 2022 grew 41% to $5.8 million ● Fourth quarter net investment income per share increased to $0.48 |
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| March 10, 2023 |
EX-21.1 EXHIBIT 21.1 Subsidiaries of Rand Capital Corporation Subsidiary Jurisdiction Of Corporation Rand BMP Swanson Hold Co., LLC New York Rand Capital Sub LLC New York Rand Carolina Skiff Holdings Corp. New York Rand DSD Holdings Corp. New York Rand Filterworks Holdings Corp. New York Rand FSS Holdings Corp. New York Rand ITA Holdings Corp. New York Rand Somerset Holdings Corp. New York |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 10, 2023 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| December 7, 2022 |
40-17F2 1 form40-17f2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 October 13, 2022 2. State Identification Number: AL AK A |
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| November 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 d404870d10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commiss |
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| August 15, 2022 |
40-17F2 1 form40-17f2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 July 21, 2022 2. State Identification Number: AL AK AZ A |
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| August 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand C |
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| June 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 27, 2022 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| June 27, 2022 |
Rand Capital Secures $25 Million Senior Secured Credit Facility to Support Future Investments Exhibit 99.1 14 Lafayette Square, Suite 1405 ? Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Secures $25 Million Senior Secured Credit Facility to Support Future Investments BUFFALO, NY, June 27, 2022 ? Rand Capital Corporation (Nasdaq: RAND) (?Rand? or the ?Company?), a business development company providing alternative financing for lower middle market companies, announced the closi |
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| June 27, 2022 |
Exhibit 10.3 ADDENDUM TO LINE OF CREDIT NOTE Formula-Based Credit Borrower: RAND CAPITAL CORPORATION Initial Face Amount* of Note: $25,000,000.00 *(This information is for cross-reference purposes only. Any calculation of availability under the Note shall be determined based on the Maximum Principal Amount, subject to other terms and conditions as described in the Note and this Addendum, as any of |
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| June 27, 2022 |
Exhibit 10.2 REVOLVING LINE NOTE New York June 27, 2022 $25,000,000.00 BORROWER: RAND CAPITAL CORPORATION, a corporation organized under the laws of the State of New York having its chief executive office at 14 Lafayette Square, Suite 1405, Buffalo, NY 14203. BANK: M&T BANK, a New York banking corporation with its banking offices at One M&T Plaza, Buffalo, New York 14203, Attention: Office of the |
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| June 27, 2022 |
Exhibit 10.1 CREDIT AGREEMENT New York June 27, 2022 Borrower: RAND CAPITAL CORPORATION, a corporation organized under the laws of the State of New York having its chief executive office at 14 Lafayette Square, Suite 1405, Buffalo, NY 14203. Bank: M&T BANK, a New York banking corporation with its chief executive office at One M&T Plaza, Buffalo, NY 14203. Attention: Office of General Counsel. BACK |
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| June 27, 2022 |
Exhibit 10.4 VARIABLE RATE RIDER (Daily Simple SOFR) Borrower: RAND CAPITAL CORPORATION Promissory Note Original/Maximum Principal Amount: $25,000,000.00 Promissory Note Date: June 27, 2022 DEFINITIONS. The above-referenced Promissory Note is referred to herein as the ?Note? and all references to the ?Note? shall be deemed to include the Note and this Rider. As used in the Note and this Rider, eac |
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| June 27, 2022 |
Exhibit 10.5 GENERAL SECURITY AGREEMENT New York Debtor (Name): Rand Capital Corporation (Organizational Structure): corporation (State Law organized under): New York (Organizational Identification Number, if any; note that this is NOT a request for the Taxpayer Identification Number): 273023 (Address of residence/chief executive office): 14 Lafayette Square, Suite 1405, Buffalo, NY 14203 Debtor ( |
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| May 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| April 22, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 21, 2022 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 1, 2022 |
40-17F2 1 form40-17f2.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 31, 2021 2. State Identification Number: AL AK |
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| March 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to ?240. |
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| March 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capit |
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| March 8, 2022 |
Subsidiaries of Rand Capital Corporation. EXHIBIT 21.1 Subsidiaries of Rand Capital Corporation Subsidiary Jurisdiction Of Corporation Rand BMP Swanson Hold Co., LLC New York Rand Capital Sub LLC New York Rand Carolina Skiff Holdings Corp. New York Rand DSD Holdings Corp. New York Rand Filterworks Holdings Corp. New York Rand ITA Holdings Corp. New York Rand Somerset Holdings Corp. New York |
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| December 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 30, 2021 (December 27, 2021) Rand Capital Corporation (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction (Commi |
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| December 30, 2021 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER BY WHICH RAND CAPITAL SUB, INC. MERGES WITH AND INTO RAND CAPITAL SUB LLC This Agreement and Plan of Merger (this ?Plan of Merger?), is made and entered into on December 27, 2021 by and among Rand Capital Sub, Inc. (the ?Merging Company?), a New York corporation originally formed as Rand Capital SBIC, Inc., and Rand Capital Sub LLC, a Delaware limited liabi |
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| November 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 October 12, 2021 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA |
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| November 12, 2021 |
Amended and Restated Bylaws, effective November 8, 2021 Exhibit 3.2 AMENDED AND RESTATED BY-LAWS OF RAND CAPITAL SUB, INC. ARTICLE I Meetings of Shareholders Section1. Annual Meeting. The annual meeting of the shareholders of the corporation, for the election of directors and for the transaction of such other business as may be set forth in the notice of the meeting, shall be held each year at such time and such place within or without the State of New |
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| November 12, 2021 |
Restated Certificate of Incorporation, filed November 10, 2021 Exhibit 3.1 RESTATED CERTIFICATE OF INCORPORATION OF RAND CAPITAL SBIC, INC. Under Section 807 of the Business Corporation Law The undersigned, being of the age of eighteen years or over, for the purpose of amending and restating the corporation?s Certificate of Incorporation, pursuant to Section 807 of the Business Corporation Law of New York, does hereby certify: 1. The name under which the corp |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 12, 2021 (November 8, 2021) Rand Capital Corporation (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction (Commis |
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| November 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 R |
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| November 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): November 2, 2021 Rand Capital Corporation (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction (Commission (IRS Employer o |
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| October 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): October 25, 2021 (October 20, 2021) Rand Capital Corporation (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction (Commiss |
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| October 25, 2021 |
Rand Capital Corporation Announces Leadership Transition and Changes to the Board of Directors Exhibit 99.1 14 Lafayette Square, Suite 1405 ? Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Corporation Announces Leadership Transition and Changes to the Board of Directors ? Allen F. ?Pete? Grum to retire as President and CEO and become Vice Chair of Board of Directors ? Daniel P. Penberthy appointed President and CEO effective December 1, 2021 ? Margaret Brechtel promoted to Execu |
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| September 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 July 12, 2021 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI |
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| August 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand C |
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| May 10, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| April 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: December 31, 2020 814-00235 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA |
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| April 23, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 22, 2021 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 6, 2021 |
DEFA14A 1 defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by |
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| March 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to ?240. |
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| March 8, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capit |
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| January 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 4, 2021 (December 31, 2020) RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incor |
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| January 4, 2021 |
Exhibit 10.2 ADMINISTRATION AGREEMENT AGREEMENT (this “Agreement”) made as of December 31, 2020 (the “Effective Date”) by and between Rand Capital Corporation, a New York corporation (hereinafter referred to as the “Corporation”), and Rand Capital Management LLC, a Delaware limited liability company (hereinafter referred to as the “Administrator”). WITNESSETH: WHEREAS, the Corporation is a closed- |
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| January 4, 2021 |
Exhibit 10.1 INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN RAND CAPITAL CORPORATION AND RAND CAPITAL MANAGEMENT LLC Agreement made this 31st day of December, 2020, by and between RAND CAPITAL CORPORATION, a New York corporation (the “Corporation”), and RAND CAPITAL MANAGEMENT LLC, a Delaware limited liability company (the “Adviser”). WHEREAS, the Corporation is a closed-end investment compa |
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| December 16, 2020 |
Submission of Matters to a Vote of Security Holders - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 16, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commiss |
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| December 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| November 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| November 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: October 8, 2020 814-00235 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA H |
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| November 13, 2020 |
Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| November 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capital Co |
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| October 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| October 29, 2020 |
Eversheds Sutherland (US) LLP 700 Sixth Street, NW, Suite 700 Washington, DC 20001-3980 D: +1 202. |
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| October 20, 2020 |
October 20, 2020 VIA EDGAR Mr. Tony Burak U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-0505 RE: Rand Capital Corporation (the “Registrant”) Annual Report filed on Form 10-K for the Fiscal Year Ended December 31, 2019 Dear Mr. Burak: On behalf of the Registrant, this letter is to respond to the comments provided by telephone to the Registrant on September 17, 2020 |
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| August 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: July 17, 2020 814-00235 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI |
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| August 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capital Corpora |
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| June 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 15, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| May 29, 2020 |
RAND / Rand Capital Corp. / User-friendly Phone Book, Llc - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6)* Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185207 (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer 10200 Grogan’s Mill Road, Suite 440 The Woodlands, TX 77380 wit |
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| May 21, 2020 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF RAND CAPITAL CORPORATION Under Section 805 of the Business Corporation Law Rand Capital Corporation, a corporation organized and existing under and by virtue of the Business Corporation Law of the State of New York, DOES HEREBY CERTIFY: 1. The current name of the corporation is Rand Capital Corporation (the “Corporation”). 2. |
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| May 21, 2020 |
Rand Capital Confirms 1-For-9 Reverse Stock Split Effective at 5:00 p.m. ET Today Exhibit 99.1 2200 Rand Building ● Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Confirms 1-For-9 Reverse Stock Split Effective at 5:00 p.m. ET Today BUFFALO, NY, May 21, 2020 – Rand Capital Corporation (Nasdaq: RAND) (“Rand” or “Rand Capital” or the “Company”), a business development company, today confirmed that it is proceeding with its previously announced 1-for-9 reverse stock spl |
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| May 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 18, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission F |
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| May 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capital Corpor |
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| May 11, 2020 |
Rand Capital Announces First Quarter 2020 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Rand Capital Announces First Quarter 2020 Results ● Announced Special Dividend of $23.7 million, or $1.62 per share, in connection with plans to elect to become a regulated investment company ● Sold interest in Outmatch Holdings, LLC for gain of $2.3 million ● Net asset value at March 31, 2020 was $3.69 per share ● Board approved 1:9 reverse stock split following |
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| May 11, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporat |
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| April 30, 2020 |
Rand Capital Announces Shareholder Election Results for Special Dividend Exhibit 99.1 FOR IMMEDIATE RELEASE Rand Capital Announces Shareholder Election Results for Special Dividend BUFFALO, NY, April 30, 2020 – Rand Capital Corporation (Nasdaq: RAND) (“Rand” or “Rand Capital” or the “Company”), a business development company, today announced the results of shareholder elections for the special dividend of $23.7 million, or $1.62 per share, declared on March 3, 2020 in |
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| April 30, 2020 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 30, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: December 31, 2019 814-00235 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL GA |
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| April 23, 2020 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 22, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 14, 2020 |
RAND / Rand Capital Corp. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| April 3, 2020 |
RAND CAPITAL CORPORATION SPECIAL DIVIDEND ELECTION FORM Exhibit 99.2 RAND CAPITAL CORPORATION SPECIAL DIVIDEND ELECTION FORM You may elect to receive the Special Dividend, payable on May 11, 2020, in the form of cash or shares of common stock of Rand Capital Corporation by returning this Dividend Election Form, as provided below. Prior to making an election, please read carefully and in its entirety the accompanying letter from Rand Capital Corporation |
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| April 3, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 3, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| April 3, 2020 |
Exhibit 99.1 IMPORTANT INFORMATION REGARDING YOUR CASH OR STOCK ELECTION IN CONNECTION WITH RAND CAPITAL’S SPECIAL DIVIDEND PAYABLE ON MAY 11, 2020 April 3, 2020 Dear Shareholders, We are pleased to notify you of the $23.7 million, or approximately $1.62 per share, special dividend (the “Special Dividend”) declared by our Board of Directors on March 3, 2020. The Special Dividend will be paid on Ma |
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| April 2, 2020 |
RAND / Rand Capital Corp. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| March 17, 2020 |
RAND / Rand Capital Corp. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 9, 2020 |
RAND / Rand Capital Corp. 10-K - Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capital Corporation |
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| March 9, 2020 |
Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following is a description of the general terms, provisions and rights of our common stock, par value $0.10 per share (the “Common Stock”) and related provisions of the Company’s certificate of incorporation (the “Certificate of Incorporation”) and by-laws (the “By-la |
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| March 9, 2020 |
Subsidiaries of Rand Capital Corporation. Exhibit 21.1 Subsidiaries of Rand Capital Corporation Subsidiary Jurisdiction of Incorporation Rand BeetNPath Holdings Corp. New York Rand Capital SBIC, Inc. New York Rand Carolina Skiff Holdings Corp. New York Rand Filterworks Holdings Corp. New York Rand GTEC Holdings Corp. New York Rand Somerset Holdings Corp. New York |
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| March 3, 2020 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 3, 2020 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission |
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| March 3, 2020 |
Exhibit 99.1 FOR IMMEDIATE RELEASE Rand Capital Declares Special Dividend of $1.62 Per Share Rand plans to elect to be treated as a “Regulated Investment Company” (RIC) BUFFALO, NY, March 3, 2020 – Rand Capital Corporation (Nasdaq: RAND) (“Rand” or “Rand Capital” or the “Company”), a business development company, today announced that its Board of Directors has declared a special dividend of $23.7 |
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| December 31, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 30, 2019 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commiss |
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| December 3, 2019 |
December 3, 2019 Securities and Exchange Commission Division of Investment Management Attn: Raymond Be, Esq. |
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| December 3, 2019 |
RAND / Rand Capital Corp. DEFR14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 2, 2019 |
RAND / Rand Capital Corp. DEF 14A - - Proxy Statement Rand Capital Corporation Rand Capital Corporation 2200 Rand Building Buffalo, New York 14203 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS TO OUR SHAREHOLDERS: The 2019 Annual Meeting of Shareholders of Rand Capital Corporation (the “Corporation”) will be held on Monday, December 30, 2019 at 10:30 a. |
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| November 21, 2019 |
RAND / Rand Capital Corp. PRE 14A - - Proxy Statement Rand Capital Corporation PRELIMINARY PROXY STATEMENT – SUBJECT TO COMPLETION DATED NOVEMBER 21, 2019 Rand Capital Corporation 2200 Rand Building Buffalo, New York 14203 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS TO OUR SHAREHOLDERS: The 2019 Annual Meeting of Shareholders of Rand Capital Corporation (the “Corporation”) will be held on Monday, December 30, 2019 at 10:30 a. |
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| November 15, 2019 |
RAND / Rand Capital Corp. / East Asset Management, Llc Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185108 (CUSIP Number) Adam Gusky East Asset Management, LLC 7777 NW Beacon Square Blvd. Boca Raton, FL 33487 (561) 826-3620 (Name, Address and Telephone Numb |
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| November 12, 2019 |
CANCELLATION AGREEMENT This Cancellation Agreement (this “Agreement”) is made and entered into as of November 8, 2019 by and between Rand Capital Corporation, a New York corporation (the “Company”), and Allen F. |
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| November 12, 2019 |
EXECUTION VERSION ADMINISTRATION AGREEMENT AGREEMENT (this “Agreement”) made as of November 8, 2019 (the “Effective Date”) by and between Rand Capital Corporation, a New York corporation (hereinafter referred to as the “Corporation”), and Rand Capital Management LLC, a Delaware limited liability company (hereinafter referred to as the “Administrator”). |
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| November 12, 2019 |
EXECUTION VERSION SHAREHOLDER AGREEMENT THIS SHAREHOLDER AGREEMENT is entered into as of November 8, 2019 (this “Agreement”), by and between Rand Capital Corporation, a New York corporation (the “Company”), and East Asset Management, LLC, a Delaware limited liability company (“East”) and is effective as of the closing of the transactions contemplated in the Stock Purchase Agreement (as defined below) (the “Contemplated Transactions”). |
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| November 12, 2019 |
EXECUTION VERSION INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT BETWEEN RAND CAPITAL CORPORATION AND RAND CAPITAL MANAGEMENT LLC Agreement made this 8th day of November, 2019 (the “Effective Date”), by and between RAND CAPITAL CORPORATION, a New York corporation (the “Corporation”), and RAND CAPITAL MANAGEMENT LLC, a Delaware limited liability company (the “Adviser”). |
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| November 12, 2019 |
CANCELLATION AGREEMENT This Cancellation Agreement (this “Agreement”) is made and entered into as of November 8, 2019 by and among Rand Capital Corporation, a New York corporation (the “Company”), and Daniel P. |
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| November 12, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 7, 2019 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction (Commission (I.R.S. Employe |
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| November 12, 2019 |
Rand Capital Corporation ● 2200 Rand Building ● Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Announces Closing of Stock Purchase Transaction for $25 Million Strategic Investment by East Asset Management Adam Gusky, Chief Investment Officer of East Asset Management and Ben Godley, Chief Executive Officer of CDP, join Rand’s Board of Directors BUFFALO, NY, November 11, 2019 – Rand Capital Corporation (Nasdaq: RAND) (“Rand” or “Rand Capital” or the “Company”), a business development company, announced that it closed on the previously announced transaction with East Asset Management (“EAM”). |
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| November 12, 2019 |
CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF RAND CAPITAL CORPORATION Under Section 805 of the Business Corporation Law Rand Capital Corporation, a corporation organized and existing under and by virtue of the Business Corporation Law of the State of New York, DOES HEREBY CERTIFY: 1. |
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| November 7, 2019 |
RAND / Rand Capital Corp. 40-17F2 - - 40-17F2 40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 October 10, 2019 2. State Identification Number: AL AK AZ AR CA CO CT DE D |
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| November 7, 2019 |
RAND / Rand Capital Corp. 10-Q - Quarterly Report - 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 22, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 16, 2019 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commissi |
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| October 9, 2019 |
RAND / Rand Capital Corp. 40-17F2 - - 40-17F2 40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 August 28, 2019 2. State Identification Number: AL AK AZ AR CA CO CT DE DC |
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| August 6, 2019 |
RAND / Rand Capital Corp. 10-Q - Quarterly Report - 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 23, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 16, 2019 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorpor |
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| May 22, 2019 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 16, 2019 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission F |
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| May 15, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 14, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 13, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 9, 2019 |
RAND / Rand Capital Corp. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| May 9, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 9, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 8, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 7, 2019 |
RAND / Rand Capital Corp. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| May 6, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 6, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 6, 2019 |
RAND / Rand Capital Corp. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| May 6, 2019 |
RAND / Rand Capital Corp. DEFC14A DEFC14A DEFC14A Table of Contents SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 6, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185108 (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer 10200 Grogan’s Mill Road, Suite 440 The Woodlands, TX 77380 wit |
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| May 6, 2019 |
EXHIBIT A Graphic omitted User-Friendly Phone Book Files Definitive Proxy and Open Letter, Urging Fellow Shareholders of Rand Capital to Vote Against Transaction with East Asset Management Proposed Transaction Represents Approximately 41% Discount to Company’s Own Stated Net Asset Value Rand Shareholders Would Receive 69% Greater Return by Liquidating Company’s Assets Transaction Would Transfer Over $7. |
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| May 3, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 3, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| May 2, 2019 |
RAND / Rand Capital Corp. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| May 2, 2019 |
RAND / Rand Capital Corp. 10-Q Quarterly Report 10-Q 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 1, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 29, 2019 |
RAND / Rand Capital Corp. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| April 29, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 29, 2019 |
VIA EDGAR April 29, 2019 Securities and Exchange Commission Division of Investment Management Attn: Raymond Be, Esq. |
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| April 26, 2019 |
RAND / Rand Capital Corp. DFAN14A DFAN14A DFAN14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 25, 2019 |
RAND / Rand Capital Corp. PREC14A PREC14A Table of Contents SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 25, 2019 |
RAND / Rand Capital Corp. / User-friendly Phone Book, Llc - AMENDMENT NO. 4 Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185108 (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer 10200 Grogan’s Mill Road, Suite 440 The Woodlands, TX 77380 wit |
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| April 23, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| April 22, 2019 |
RAND / Rand Capital Corp. 14A - RAND CAPITAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☐ Filed by a Party other than the Registrant ☒ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 18, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| April 18, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| April 10, 2019 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185108 (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer 10200 Grogan’s Mill Road, Suite 440 The Woodlands, TX 77380 wit |
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| April 1, 2019 |
RAND / Rand Capital Corp. 40-17F2 40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 31, 2018 2. State Identification Number: AL AK AZ AR CA CO CT DE |
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| March 27, 2019 |
RAND / Rand Capital Corp. / User-friendly Phone Book, Llc - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185108 (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer 10200 Grogan’s Mill Road, Suite 440 The Woodlands, TX 77380 wit |
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| March 11, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to §240. |
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| March 7, 2019 |
RAND / Rand Capital Corp. 10-K (Annual Report) 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 25, 2019 |
RAND / Rand Capital Corp. DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☒ Soliciting Material Pursuant to §240. |
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| January 25, 2019 |
EX-10.1 Exhibit 10.1 EXECUTION VERSION STOCK PURCHASE AGREEMENT by and among EAST ASSET MANAGEMENT, LLC, RAND CAPITAL CORPORATION, and, SOLELY FOR PURPOSES OF BEING BOUND BY SECTIONS 7.10 AND 10.9(A) AND (B), RAND CAPITAL MANAGEMENT LLC DATED AS OF JANUARY 24, 2019 TABLE OF CONTENTS ARTICLE I DEFINED TERMS 2 ARTICLE II TRANSACTION 10 ARTICLE III CLOSING; CLOSING DELIVERIES 11 ARTICLE IV REPRESENTA |
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| January 25, 2019 |
******************************************** EX-99.1 Exhibit 99.1 RAND: EAM Investment and Management Externalization Webcast Script FINAL 20190125 Deborah Pawlowski: Good morning. Welcome to Rand Capital’s Strategic Update discussion. Today we will discuss the strategic investment by East Asset Management into Rand Capital and the plan to externalize management that was announced this morning. That release and the slides that accompany our |
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| January 25, 2019 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 24, 2019 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Comm |
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| January 25, 2019 |
RAND / Rand Capital Corp. DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A (RULE 14a-101) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive Additional Materials ☒ Soliciting Material Pursuant to §240. |
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| January 25, 2019 |
EX-99.1 Exhibit 99.1 NEWS RELEASE 2200 Rand Building • Buffalo, New York 14203 FOR IMMEDIATE RELEASE Rand Capital Announces $25 Million Strategic Investment by East Asset Management and Establishment of External Management Structure • East Asset Management to make $25 million strategic investment into Rand Capital in exchange for approximately 8.3 million shares of Rand Capital common stock; $3.00 |
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| January 25, 2019 |
EX-99.2 Strategic Update for Rand Capital Shareholders Allen F. “Pete” Grum, President & CEO Daniel P. Penberthy, Executive Vice President & CFO January 25, 2019 Exhibit 99.2 Important Information Cautionary Statement Regarding Forward-Looking Statements This presentation contains “forward-looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section |
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| January 25, 2019 |
Financial Statements and Exhibits, Other Events 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 24, 2019 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Comm |
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| November 8, 2018 |
RAND / Rand Capital Corp. 40-17F2 40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 October 8, 2018 2. State Identification Number: AL AK AZ AR CA CO CT DE DC |
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| November 7, 2018 |
RAND / Rand Capital Corp. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 7, 2018 |
RAND / Rand Capital Corp. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 30, 2018 |
RAND / Rand Capital Corp. 40-17F2 40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 July 3, 2018 2. State Identification Number: AL AK AZ AR CA CO CT DE DC FL |
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| June 22, 2018 |
RAND / Rand Capital Corp. / User-friendly Phone Book, Llc - AMENDMENT NO. 1 Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185108 (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer 10200 Grogan’s Mill Road, Suite 440 The Woodlands, TX 77380 wit |
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| June 21, 2018 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Rand Capital Corporation (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 752185108 (CUSIP Number) Bruce Howard User-Friendly Phone Book, LLC Chief Executive Officer 10200 Grogan’s Mill Road, Suite 440 The Woodlands, TX 77380 with |
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| June 20, 2018 |
RAND / Rand Capital Corp. / Utility Service Holding Co., Inc. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Amendment No. |
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| May 2, 2018 |
RAND / Rand Capital Corp. 10-Q (Quarterly Report) 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capital Corpo |
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| April 18, 2018 |
Submission of Matters to a Vote of Security Holders 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 17, 2018 RAND CAPITAL CORPORATION (Exact Name of Registrant as Specified in Its Charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commis |
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| March 27, 2018 |
RAND / Rand Capital Corp. 40-17F2 40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 31, 2017 2. State Identification Number: AL AK AZ AR CA CO CT DE |
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| March 8, 2018 |
RAND / Rand Capital Corp. DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
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| March 8, 2018 |
RAND / Rand Capital Corp. FORM 10-K (Annual Report) Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 9, 2018 |
RAND / Rand Capital Corp. 40-17F2 40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 October 13, 2017 2. State Identification Number: AL AK AZ AR CA CO CT DE D |
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| November 6, 2017 |
RAND / Rand Capital Corp. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 10, 2017 |
Daniel P. Penberthy Executive Vice President e: [email protected] Since 1969 2200 Rand Building / Buffalo, New York 14203 t: 716.853.0802 / f: 716.854.8480 / randcapital.com October 10, 2017 VIA EDGAR Mr. Tony Burak U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549-0505 RE: Rand Capital Corporation (the ?Registrant?) Annual Report filed on Form 10-K for the F |
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| August 7, 2017 |
RAND / Rand Capital Corp. 10-Q (Quarterly Report) 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| July 28, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Rand Capital Corporation (Name of Issuer) Common Stock, $0.10 par value (Title of Class of Securities) 752185108 (CUSIP Number) JAM Capital Partners Management, LLC Attn: John McCallum 16 Boardwalk Plaza St. Simons Island, GA 31522 With a copy to: Rick M |
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| July 28, 2017 |
Exhibit 99.1 March 21, 2017 Mr. Carl Cummings CEO Utility Service Holding Company P. O. Box 240 Warthen, GA 31094 Dear Carl, The purpose of this memorandum is to inform and document a change to the current Separately Managed Account agreement in place between Utility Service Holding Company and JAM Capital Partners Management, LLC. Reference is made to that certain [Separate Managed Account Agreem |
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| July 28, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 (Amendment No. |
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| June 5, 2017 |
40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 April 6, 2017 2. State Identification Number: AL AK AZ AR CA CO CT DE DC F |
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| April 27, 2017 |
Rand Capital FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 21, 2017 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): April 20, 2017 RAND CAPITAL CORPORATION (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| March 21, 2017 |
40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 28, 2016 2. State Identification Number: AL AK AZ AR CA CO CT DE |
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| March 8, 2017 |
DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission |
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| March 8, 2017 |
Rand Capital FORM 10-K (Annual Report) Form 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capital Corpo |
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| March 2, 2017 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): March 1, 2017 RAND CAPITAL CORPORATION (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| March 2, 2017 |
EX-10.1 Exhibit 10.1 CHANGE IN CONTROL AGREEMENT This Agreement is entered into as of the 1st day of March, 2017 (the ?Effective Date?) by and between Rand Capital Corporation, a New York corporation (the ?Company?), and Allen F. Grum (the ?Executive?). WHEREAS, the Company recognizes that the Executive?s continuing service to the Company is crucial to the future success of the Company and recogni |
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| March 2, 2017 |
EX-10.2 Exhibit 10.2 CHANGE IN CONTROL AGREEMENT This Agreement is entered into as of the 1st day of March, 2017 (the ?Effective Date?) by and between Rand Capital Corporation, a New York corporation (the ?Company?), and Daniel P. Penberthy (the ?Executive?). WHEREAS, the Company recognizes that the Executive?s continuing service to the Company is crucial to the future success of the Company and r |
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| December 28, 2016 |
40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 October 14, 2016 2. State Identification Number: AL AK AZ AR CA CO CT DE D |
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| December 14, 2016 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): December 12, 2016 RAND CAPITAL CORPORATION (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Com |
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| December 14, 2016 |
RAND / Rand Capital Corp. / COLMAC HOLDINGS LTD - SC 13D/A Activist Investment SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1 - Exit Filing)* Rand Capital Corporation (Name of Issuer) Common Stock, $0.10 par value (Title of Class of Securities) 752185 108 (CUSIP Number) Robert S. McLee |
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| November 2, 2016 |
EX-3.(ii) EXHIBIT 3(ii) BY-LAWS OF RAND CAPITAL CORPORATION ARTICLE I SHAREHOLDERS SECTION 1. ANNUAL MEETING. The annual meeting of the shareholders for the purpose of electing directors and of transacting such other business as may properly be brought before the meeting shall be held on the date selected by the Board of Directors in each calendar year. SECTION 2. SPECIAL MEETINGS. Special meeting |
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| November 2, 2016 |
Rand Capital FORM 10-Q (Quarterly Report) Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand Capi |
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| September 23, 2016 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): September 21, 2016 RAND CAPITAL CORPORATION (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation |
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| September 21, 2016 |
40-17F2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: 814-00235 Date examination completed: July 14, 2016 2. State Identification Number: AL AK AZ AR CA CO CT DE DC F |
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| August 2, 2016 |
AMENDMENTS TO THE BY-LAWS OF RAND CAPITAL CORPORATION EX-3.1 Exhibit 3.1 AMENDMENTS TO THE BY-LAWS OF RAND CAPITAL CORPORATION Pursuant to resolutions unanimously adopted by the Board of Directors of Rand Capital Corporation, a New York corporation (the ?Corporation?) on July 28, 2016, the By-Laws of the Corporation (the ?By-Laws?) were amended as follows: 1. Article I, Section 1 of the By-Laws was amended in full to read as follows: ?The annual meet |
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| August 2, 2016 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): July 28, 2016 RAND CAPITAL CORPORATION (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Co |
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| August 2, 2016 |
Rand Capital FORM 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand C |
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| May 4, 2016 |
RAND / Rand Capital Corp. 10-Q - Quarterly Report - FORM 10-Q Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 22, 2016 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): April 21, 2016 RAND CAPITAL CORPORATION (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| April 21, 2016 |
EXHIBIT 99.1 |
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| April 21, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (date of earliest event reported): April 21, 2016 RAND CAPITAL CORPORATION (Exact name of registrant as specified in its charter) New York 814-00235 16-0961359 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| March 28, 2016 |
FORM N-17f-2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 31, 2015 2. State Identification Number: AL AK AZ AR CA CO C |
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| March 11, 2016 |
DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission |
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| March 10, 2016 |
Rand Capital 10-K (Annual Report) 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 28, 2016 |
FORM N-17F-2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 December 8, 2015 2. State Identification Number: AL AK AZ AR CA CO CT |
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| January 5, 2016 |
Rand Capital RAND CAPITAL CORPORATION 8-K (Current Report/Significant Event) Edgar-8K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report: December 29, 2015 (Date of earliest event reported) Rand Capital Corporation (Exact name of registrant as specified in its charter) NY 814-00235 16-0961359 (State or other jurisdiction of incorporation) (Comm |
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| January 5, 2016 |
Expects Cash Proceeds From Transaction of Approximately $14 Million Rand Capital Signs Agreement for Sale of Its Largest Portfolio Company, Gemcor Expects Cash Proceeds From Transaction of Approximately $14 Million BUFFALO, NY - (Marketwired - January 05, 2016) - Rand Capital Corporation (NASDAQ: RAND) ("Rand"), a business development company that makes venture capital and private equity investments in companies with emerging products, service or technology concepts, announced today that its wholly-owned subsidiary, Rand Capital SBIC, Inc. |
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| November 3, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 R |
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| September 30, 2015 |
FORM N-17F-2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS IN THE CUSTODY OF MANAGEMENT INVESTMENT COMPANIES Pursuant to Rule 17f-2 [17 CRF 270.17f-2] 1. Investment Company Act File Number: Date examination completed: 814-00235 June 3, 2015 2. State Identification Number: AL AK AZ AR CA CO CT DE |
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| August 4, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand C |
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| July 27, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Rand Capital Corporation (Name of Issuer) Common Stock, $0.10 par value (Title of Class of Securities)) 752185108 (CUSIP Number) JAM Capital Partners Management, LLC Attn: John McCallum 16 Boardwalk Plaza St. Simons Island, GA 31522 (Name, Address and Te |
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| May 5, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period from to Commission File Number: 814-00235 Rand |
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| April 30, 2015 |
Rand Capital Grew Net Asset Value to $5.14 Per Share and Made $2.7 Million in Investments in First Quarter 2015 EXHIBIT 99.1 Rand Capital Grew Net Asset Value to $5.14 Per Share and Made $2.7 Million in Investments in First Quarter 2015 Net asset value per share of $5.14 was up 18% compared with the first quarter last year Invested $2.7 million in two new companies and five portfolio companies dur |
