RAND CAPITAL CORP — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| COLMAC HOLDINGS LTD | — | Sale | 810,000 | $3.00 | $2,430,000 | — | Dec 13, 2016 |
| GRUM ALLEN F | CEO | Purchase | 25,000 | $3.00 | $75,000 | 148,642 | Dec 13, 2016 |
| PENBERTHY DANIEL P | EVP and CFO | Purchase | 16,667 | $3.00 | $50,001 | 84,467 | Dec 13, 2016 |
| NEWMAN REGINALD B II | — | Gift | 95,414 | — | — | 94,124 | Dec 13, 2016 |
| KAILBOURNE ERLAND E | — | Purchase | 16,667 | $3.00 | $50,001 | 36,667 | Dec 13, 2016 |
| KENZIE ROSS B | — | Purchase | 13,000 | $3.00 | $39,000 | 113,000 | Dec 13, 2016 |
| ZAK ROBERT M | — | Purchase | 25,000 | $3.33 | $83,250 | 65,000 | Aug 11, 2016 |
| GRUM ALLEN F | President/CEO | Purchase | 2,500 | $3.80 | $9,500 | 121,142 | May 18, 2015 |
| GRUM ALLEN F | President/CEO | Purchase | 2,500 | $3.80 | $9,500 | 118,642 | May 11, 2015 |
| GRUM ALLEN F | President/CEO | Purchase | 5,000 | $3.10 | $15,500 | 116,142 | Aug 21, 2014 |
| Utility Service Holding Co., Inc. | — | Purchase | 400,000 | $3.02 | $1,208,000 | 1,202,192 | Aug 20, 2014 |
| Utility Service Holding Co., Inc. | — | Purchase | 4,415 | $3.10 | $13,687 | 786,592 | Jul 23, 2014 |
| Utility Service Holding Co., Inc. | — | Purchase | 10,000 | $3.25 | $32,500 | 762,177 | Jun 20, 2014 |
| Utility Service Holding Co., Inc. | — | Purchase | 5,000 | $3.32 | $16,600 | 750,677 | Jun 6, 2014 |
| GRUM ALLEN F | President/CEO | Purchase | 5,000 | $3.42 | $17,100 | 111,142 | May 19, 2014 |
| GRUM ALLEN F | President/CEO | Purchase | 5,000 | $3.27 | $16,350 | 106,142 | Mar 12, 2014 |
| PENBERTHY DANIEL P | EVP | Purchase | 100 | $3.23 | $323 | 63,800 | Feb 27, 2014 |
| GRUM ALLEN F | President/CEO | Purchase | 5,000 | $2.85 | $14,250 | 101,142 | Apr 4, 2013 |
| GRUM ALLEN F | President/CEO | Purchase | 5,000 | $2.75 | $13,750 | 96,142 | Mar 7, 2013 |
| PENBERTHY DANIEL P | EVP | Purchase | 5,000 | $2.70 | $13,500 | 62,800 | Mar 4, 2013 |
| NEWMAN REGINALD B II | — | Gift | 10,634 | — | — | 189,538 | Jan 10, 2013 |
| ZAK ROBERT M | — | Purchase | 10,000 | $2.46 | $24,600 | 40,000 | Dec 13, 2012 |
| PENBERTHY DANIEL P | EVP | Purchase | 800 | $2.30 | $1,840 | 57,800 | Nov 15, 2012 |
| NEWMAN REGINALD B II | — | Gift | 9,500 | — | — | 242,710 | Jan 9, 2012 |
| RAND JAYNE K | — | Sale | 5,045 | $3.00 | $15,135 | 115,433 | Apr 11, 2011 |
| RAND JAYNE K | — | Sale | 10,000 | $2.90 | $29,000 | 130,478 | Apr 7, 2011 |
| GRUM ALLEN F | President/CEO | Purchase | 100 | $3.10 | $310 | 81,242 | Feb 28, 2011 |
| NEWMAN REGINALD B II | — | Gift | 41,403 | — | — | 288,804 | Jan 4, 2011 |
| NEWMAN REGINALD B II | — | Gift | 26,766 | — | — | 330,207 | Feb 10, 2010 |
| NEWMAN REGINALD B II | — | Gift | 32,662 | — | — | 356,973 | Jan 5, 2010 |
| GRUM ALLEN F | President/CEO | Purchase | 1,014 | $3.42 | $3,468 | 81,142 | Sep 4, 2009 |
| KAILBOURNE ERLAND E | — | Purchase | 10,000 | $3.42 | $34,200 | 20,000 | Sep 1, 2009 |
| RAND JAYNE K | — | Purchase | 1,000 | $3.42 | $3,420 | 140,478 | Sep 1, 2009 |
| KENZIE ROSS B | — | Gift | 10,000 | — | — | 100,000 | Aug 20, 2009 |
| KENZIE ROSS B | — | Purchase | 10,000 | $3.42 | $34,200 | 110,000 | Aug 12, 2009 |
| NEWMAN REGINALD B II | — | Purchase | 10,000 | $3.42 | $34,200 | 389,635 | Aug 12, 2009 |
| McLeese Willis S | — | Purchase | 10,000 | $3.42 | $34,200 | 810,000 | Aug 12, 2009 |
| PENBERTHY DANIEL P | Exec. VP and Secretary | Purchase | 7,000 | $3.42 | $23,940 | 57,000 | Aug 12, 2009 |
| ZAK ROBERT M | — | Purchase | 10,000 | $3.42 | $34,200 | 30,000 | Aug 12, 2009 |
| GRUM ALLEN F | President and CEO | Purchase | 7,000 | $3.42 | $23,940 | 80,128 | Aug 12, 2009 |
| NEWMAN REGINALD B II | — | Gift | 37,143 | — | — | 379,635 | Jan 6, 2009 |
| RAND JAYNE K | — | Sale | 200 | $3.27 | $654 | 141,580 | Nov 6, 2008 |
| RAND JAYNE K | — | Sale | 100 | $3.76 | $376 | 147,898 | Jun 12, 2008 |
| NEWMAN REGINALD B II | — | Gift | 33,801 | — | — | 416,778 | Jan 3, 2008 |
| GRUM ALLEN F | — | Gift | 500 | — | — | 73,128 | Mar 7, 2007 |
| KENZIE ROSS B | — | Gift | 35,000 | — | — | 100,000 | Jan 3, 2007 |
| NEWMAN REGINALD B II | — | Gift | 35,000 | — | — | 450,579 | Jan 3, 2007 |
| ZAK ROBERT M | — | Purchase | 6,100 | $1.70 | $10,370 | 16,100 | May 11, 2006 |
| ZAK ROBERT M | — | Purchase | 201 | $1.34 | $269 | 4,501 | Feb 15, 2006 |
| NEWMAN REGINALD B II | — | Gift | 91,000 | — | — | 485,579 | Feb 2, 2006 |