0001493152-21-003670.txt : 20210212
0001493152-21-003670.hdr.sgml : 20210212
20210212164604
ACCESSION NUMBER: 0001493152-21-003670
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210212
DATE AS OF CHANGE: 20210212
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PENBERTHY DANIEL P
CENTRAL INDEX KEY: 0001057068
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00235
FILM NUMBER: 21628692
BUSINESS ADDRESS:
STREET 1: C/O RAND CAPITAL CORP
STREET 2: 2200 RAND BLDG
CITY: BUFFALO
STATE: NY
ZIP: 14203
BUSINESS PHONE: 7168530802
MAIL ADDRESS:
STREET 1: C/O RAND CAPITAL CORP
STREET 2: 2200 RAND BLDG
CITY: BUFFALO
STATE: NY
ZIP: 14203
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: RAND CAPITAL CORP
CENTRAL INDEX KEY: 0000081955
IRS NUMBER: 160961359
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1405 RAND BUILDING
CITY: BUFFALO
STATE: NY
ZIP: 14203
BUSINESS PHONE: 7168530802
MAIL ADDRESS:
STREET 1: 1405 RAND BUILDING
CITY: BUFFALO
STATE: NY
ZIP: 14203
5
1
ownership.xml
X0306
5
2020-12-31
0
0
0
0000081955
RAND CAPITAL CORP
RAND
0001057068
PENBERTHY DANIEL P
1405 RAND BUILDING
BUFFALO
NY
14203
0
1
0
0
Chief Financial Officer
Common Stock
15269
D
On March 3, 2020, Rand Capital Corporation (the "Issuer") declared a special dividend, which, subject to an election by each shareholder and proration limitations, was paid partially in cash and partially in shares of the Issuer's common stock. The reporting person's shares reported in this report include the shares of the Issuer's common stock acquired pursuant to the special dividend.
On May 21, 2020, the Issuer completed a 1-for-9 reverse stock split of the Issuer's common stock. The reporting person's shares reported in this report reflect the effect of the 1-for-9 reserve stock split.
/s/ Daniel P. Penberthy
2021-02-12