Welcome to our dedicated page for Rand Capital SEC filings (Ticker: RAND), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Rand Capital Corporation filings document regulatory disclosures for an externally managed business development company focused on lower middle market debt and related equity investments. Its Form 8-K reports record quarterly and annual operating results, Regulation FD presentation materials, portfolio activity, net asset value, dividend declarations, repurchase authorizations, liquidity, and other material events tied to its investment portfolio.
Proxy and shareholder-vote filings cover director elections, auditor ratification, annual meeting matters, and governance procedures. Other current reports disclose changes in the company’s independent registered public accounting firm and related audit-committee actions.
Rand Capital Corp. director Adam Samuel Gusky reported multiple purchases of RAND common stock on 09/15/2025. The shares were acquired through AG Energy, LLC, which Mr. Gusky controls, so the holdings are reported as indirect. Transaction prices ranged from $14.55 to $15.00 per share across several lots (sizes include 10, 25, 100, 200 and 250 shares). Following the reported transactions, the beneficial ownership reported on the form reached 33,546 shares. The Form 4 was signed on 09/16/2025.
Rand Capital Corporation filed a current report describing a change in its independent auditor. On September 11, 2025, the Audit Committee and Board approved replacing Freed Maxick, P.C. with Withum Smith+Brown, PC as the company’s independent registered public accounting firm, following Withum’s acquisition of certain assets of Freed Maxick. Freed Maxick’s audit reports on Rand Capital’s 2023 and 2024 consolidated financial statements contained no adverse opinions, disclaimers, or qualifications, and the company reports no disagreements or reportable events with Freed Maxick through September 11, 2025. The Board and Audit Committee also approved the engagement of Withum as auditor for the fiscal year ending December 31, 2025, and a confirming letter from Freed Maxick is filed as an exhibit.