{"schema":"rootz.ai/filing-signals/v1","query":{"ticker":"RAND","limit":50},"count":50,"signals":[{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":64,"context":"suitable investment professionals in a timely manner or at all. The loss of investment professionals that RCM currently has access to, or the loss of members of the Investment Committee, could have a material adverse effect on our ability to achieve our investment objectives as well as on our financial condition and results of operations. Our financial results will depend on RCMs skill to manage and deploy capital effec","filed_date":"2026-03-05","accession":"0001193125-26-092669","full_text":"https://origin.rootz.global/static/filing/0001193125-26-092669.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":56,"context":"ely manner or at all. The loss of a material number of investment professionals that RCM currently has access to, or the loss of a material number of members of the Investment Committee, could have a material adverse effect on our ability to achieve our investment objectives as well as on our financial condition and results of operations. Our financial results will depend on RCMs skill to manage and deploy capital effec","filed_date":"2025-03-10","accession":"0000950170-25-035949","full_text":"https://origin.rootz.global/static/filing/0000950170-25-035949.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":53,"context":"e to find investment professionals in a timely manner or at all. The loss of a material number of investment professionals to which RCM has access or members of the Investment Committee, could have a material adverse effect on our ability to achieve our investment objectives as well as on our financial condition and results of operations.  Our financial results will depend on RCMs skill to manage and deploy capital effe","filed_date":"2024-03-05","accession":"0000950170-24-025396","full_text":"https://origin.rootz.global/static/filing/0000950170-24-025396.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":21,"context":"e to find investment professionals in a timely manner or at all. The loss of a material number of investment professionals to which RCM has access or members of the Investment Committee, could have a material adverse effect on our ability to achieve our investment objectives as well as on our financial condition and results of operations.  **Our financial results will depend on RCMs skill to manage and deploy capital ef","filed_date":"2023-03-10","accession":"0001193125-23-066793","full_text":"https://origin.rootz.global/static/filing/0001193125-23-066793.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":15,"context":"in the future be, required to restructure certain of our investments on terms that are less favorable to us to avoid potential bankruptcies and other insolvency issues for our portfolio companies. A substantial negative impact to one or more of our portfolio companies resulting from the coronavirus pandemic could have a material adverse effect on our business, financial condition and results of operations.  **We are depend","filed_date":"2022-03-08","accession":"0001193125-22-068729","full_text":"https://origin.rootz.global/static/filing/0001193125-22-068729.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":15,"context":"y such individual to terminate his or her relationship with RCM. The loss of a material number of investment professionals to which RCM has access or members of the Investment Committee, could have a material adverse effect on our ability to achieve our investment objectives as well as on our financial condition and results of operations. In addition, we cannot assure you that RCM will remain our investment adviser or t","filed_date":"2021-03-08","accession":"0001193125-21-072292","full_text":"https://origin.rootz.global/static/filing/0001193125-21-072292.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":13,"context":"y such individual to terminate his or her relationship with RCM. The loss of a material number of investment professionals to which RCM has access or members of the Investment Committee, could have a material adverse effect on our ability to achieve our investment objectives as well as on our financial condition and results of operations. In addition, we cannot assure you that RCM will remain our investment adviser or t","filed_date":"2020-03-09","accession":"0001493152-20-003569","full_text":"https://origin.rootz.global/static/filing/0001493152-20-003569.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":100,"match_count":37,"context":"rminate his or her relationship with the Adviser. The loss of a material number of senior investment professionals to which the Adviser has access or members of the Investment Committee, could have a material adverse effect on our ability to achieve our investment objective as well as on our financial condition and results of operations. In addition, we cannot assure you that the Adviser will remain our investment advis","filed_date":"2019-04-18","accession":"0001493152-19-005593","full_text":"https://origin.rootz.global/static/filing/0001493152-19-005593.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":97,"match_count":9,"context":". These demands on their time may distract them or may slow the rate of investment.  Even if we are able to grow and build on our investment, any failure to manage our growth effectively could have a material adverse effect on our business, financial condition, results of operations and prospects. If we cannot successfully operate our business or implement our investment objective, it could negatively impact our stock p","filed_date":"2019-03-07","accession":"0001193125-19-066380","full_text":"https://origin.rootz.global/static/filing/0001193125-19-066380.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":84,"match_count":8,"context":". These demands on their time may distract them or may slow the rate of investment.  Even if we are able to grow and build on our investment, any failure to manage our growth effectively could have a material adverse effect on our business, financial condition, results of operations and prospects. If we cannot successfully operate our business or implement our investment objective, it could negatively impact our stock p","filed_date":"2018-03-08","accession":"0001193125-18-074224","full_text":"https://origin.rootz.global/static/filing/0001193125-18-074224.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":80,"match_count":10,"context":"eneficial ownership of our shares on November 15, 2019, by (a) persons known by us to be beneficial owners of more than 5% of the outstanding shares, (b) the Directors, nominees for Director, and the named executive officers of Rand, and (c) all Directors and executive officers as a group. For purposes of the table, the address for each of our Directors, nominees for Director and named executive officers is c/o 2200 Ran","filed_date":"2019-12-02","accession":"0001493152-19-018595","full_text":"https://origin.rootz.global/static/filing/0001493152-19-018595.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":64,"match_count":8,"context":"the Board of Directors with respect to the compensation of the executive officers and reviews the criteria that form the basis for management compensation. The compensation levels of the Corporations Named Executive Officers, NEOs; (the President/CEO and Executive Vice President) were approved by the independent members of the Board of Directors, representing a majority of its membership. Proxy 8 Proxy Statement Rand Ca","filed_date":"2010-03-18","accession":"0000950123-10-025854","full_text":"https://origin.rootz.global/static/filing/0000950123-10-025854.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":64,"match_count":8,"context":"the Board of Directors with respect to the compensation of the executive officers and reviews the criteria that form the basis for management compensation. The compensation levels of the Corporations Named Executive Officers, NEOs; (the President/CEO and Executive Vice President) were approved by the independent members of the Board of Directors, representing a majority of its membership. The Compensation Committees Cha","filed_date":"2009-04-01","accession":"0000950152-09-003401","full_text":"https://origin.rootz.global/static/filing/0000950152-09-003401.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":64,"match_count":8,"context":"ses the Compensation Committees determination of how and why, in addition to what, compensation actions were taken for the executive officers who are identified in the Summary Compensation Table (the Named Executive Officers). **Objectives of Rands Compensation Programs and What it is Designed to Reward** For its long-term success and enhancement of long-term stockholder value, Rand depends on the management and analyti","filed_date":"2008-03-27","accession":"0000950152-08-002348","full_text":"https://origin.rootz.global/static/filing/0000950152-08-002348.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":56,"match_count":7,"context":"th beneficial ownership of our shares on March 6, 2020, by (a) persons known by us to be beneficial owners of more than 5% of the outstanding shares, (b) the Directors, nominees for Director, and the named executive officers of Rand, and (c) all Directors and executive officers as a group. For purposes of the table, the address for each of our Directors, nominees for Director and named executive officers is c/o 2200 Ran","filed_date":"2020-03-17","accession":"0001493152-20-004107","full_text":"https://origin.rootz.global/static/filing/0001493152-20-004107.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"ai_adoption","strength":56,"match_count":7,"context":"cordially invited to attend the special meeting of the shareholders of Rand Capital Corporation (the Company) to be held on May 16, 2019, at 1:00 p.m., local time, at The Buffalo Club, the Millard Fillmore Room, 388 Delaware Avenue, Buffalo, New York, 14202 (Business Attire Required). Only shareholders of record at the close of business on April 12, 2019 are entitled to notice of, and to vote at, th","filed_date":"2019-04-18","accession":"0001493152-19-005593","full_text":"https://origin.rootz.global/static/filing/0001493152-19-005593.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":56,"match_count":7,"context":"|  | | |  |  |  |  |  | | On March 2, 2017, the Corporation filed with the Securities and Exchange Commission (the SEC) certain Change in Control Agreements, which have been executed with each of its named executive officers, (NEOs), which provide each NEO with certain financial benefits in the event that (i) such NEOs employment is terminated without cause (as defined in the Change in Control Agreement) in connection w","filed_date":"2019-03-07","accession":"0001193125-19-066380","full_text":"https://origin.rootz.global/static/filing/0001193125-19-066380.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":56,"match_count":7,"context":"th beneficial ownership of our shares on March 1, 2018, by (a) persons known by us to be beneficial owners of more than 5% of the outstanding shares, (b) the Directors, nominees for Director, and the named executive officers of Rand, and (c) all Directors and executive officers as a group. For purposes of the table, the address for each of our Directors, nominees for Director and named executive officers is c/o 2200 Ran","filed_date":"2018-03-08","accession":"0001193125-18-074234","full_text":"https://origin.rootz.global/static/filing/0001193125-18-074234.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":56,"match_count":7,"context":"th beneficial ownership of our shares on March 1, 2017, by (a) persons known by us to be beneficial owners of more than 5% of the outstanding shares, (b) the Directors, nominees for Director, and the named executive officers of Rand, and (c) all Directors and executive officers as a group. For purposes of the table, the address for each of our Directors, nominees for Director and named executive officers is c/o 2200 Ran","filed_date":"2017-03-08","accession":"0001193125-17-074822","full_text":"https://origin.rootz.global/static/filing/0001193125-17-074822.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":56,"match_count":7,"context":"reholders. After the death of Mr. McLeese in January 2011, pursuant to the by-laws, the Board voted to reduce the number of directors comprising the Board from seven to six. Each of the nominees were elected to the Board of Directors at Rands Annual Meeting of Shareholders and was recommended for re-election by the Governance and Nominating Committee, which is comprised of non-management, independent Directors. Each of the nomin","filed_date":"2011-03-17","accession":"0000950123-11-026259","full_text":"https://origin.rootz.global/static/filing/0000950123-11-026259.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":48,"match_count":6,"context":"th beneficial ownership of our shares on March 5, 2021, by (a) persons known by us to be beneficial owners of more than 5% of the outstanding shares, (b) the Directors, nominees for Director, and the named executive officers of Rand, and (c) all Directors and executive officers as a group. For purposes of the table, the address for each of our Directors, nominees for Director and named executive officers is c/o 14 Lafay","filed_date":"2021-03-09","accession":"0001493152-21-005700","full_text":"https://origin.rootz.global/static/filing/0001493152-21-005700.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":47,"match_count":4,"context":"f the portfolio companies that are qualified have applied for available federal loans under the Paycheck Protection Program. The exact impact to our portfolio companies is unknown and some may suffer significant negative impact to their business. RCM is activity monitoring the impact to the portfolio companies. | 38 | | | | | **Trends and Opportunities** ** ** We believe the combination of cash on hand, proceeds from portfo","filed_date":"2020-05-11","accession":"0001493152-20-008154","full_text":"https://origin.rootz.global/static/filing/0001493152-20-008154.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":40,"match_count":5,"context":"ets forth beneficial ownership of our shares on April 12, 2019, by (a) persons known by us to be beneficial owners of more than 5% of the outstanding shares of Common Stock, (b) the directors and the named executive officers of the Company, and (c) all directors and executive officers as a group. For purposes of the table, the address for each of our Directors and named executive officers is c/o 2200 Rand Building, Buff","filed_date":"2019-04-18","accession":"0001493152-19-005593","full_text":"https://origin.rootz.global/static/filing/0001493152-19-005593.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":39,"match_count":3,"context":"pandemic we may be required to restructure certain of our investments on terms that are less favorable to us to avoid potential bankruptcies and other insolvency issues for our portfolio companies. A substantial negative impact to one or more of our portfolio companies as a result of coronavirus could have a material adverse effect on our business, financial condition and results of operations. Furthermore, severe disruptio","filed_date":"2020-11-06","accession":"0001493152-20-020638","full_text":"https://origin.rootz.global/static/filing/0001493152-20-020638.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":39,"match_count":3,"context":"pandemic we may be required to restructure certain of our investments on terms that are less favorable to us to avoid potential bankruptcies and other insolvency issues for our portfolio companies. A substantial negative impact to one or more of our portfolio companies as a result of coronavirus could have a material adverse effect on our business, financial condition and results of operations. Furthermore, severe disruptio","filed_date":"2020-08-07","accession":"0001493152-20-014921","full_text":"https://origin.rootz.global/static/filing/0001493152-20-014921.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":32,"match_count":4,"context":"respect to approval of the valuation of the Corporations investments, investment practices and performance, compliance with regulatory requirements, including applicable requirements of the 1940 Act, cybersecurity, and the services, expenses and performance of service providers. Among other things, the Board approves the appointment of the Corporations investment adviser and administrator and the Corpo","filed_date":"2026-03-13","accession":"0001493152-26-010075","full_text":"https://origin.rootz.global/static/filing/0001493152-26-010075.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":32,"match_count":4,"context":"respect to approval of the valuation of the Corporations investments, investment practices and performance, compliance with regulatory requirements, including applicable requirements of the 1940 Act, cybersecurity, and the services, expenses and performance of service providers. Among other things, the Board approves the appointment of the Corporations investment adviser and administrator and the Corpo","filed_date":"2025-03-14","accession":"0001493152-25-010374","full_text":"https://origin.rootz.global/static/filing/0001493152-25-010374.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"come | | |  | | Net asset value per share (NAV) was $23.85 at March 31, 2024, up 1% from year-end 2023 | | |  | | Sold remaining ACV Auctions stock, netting a realized gain of $3.5 million | | |  | | Invested $10.8 million in new and follow on investments during the first quarter | | |  | | Increased regular quarterly dividend 16% to $0.29 per share for second quarter 2024 | | ** ** **BUFFALO, NY**, May 13, 2024 Rand C","filed_date":"2024-05-13","accession":"0001493152-24-018794","full_text":"https://origin.rootz.global/static/filing/0001493152-24-018794.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":32,"match_count":4,"context":"including with respect to valuation of the Corporations investments, investment practices and performance, compliance with regulatory requirements, including applicable requirements of the 1940 Act, cybersecurity, and the services, expenses and performance of service providers. Among other things, the Board approves the appointment of the Corporations investment adviser and administrator and the Corpo","filed_date":"2024-04-01","accession":"0001493152-24-012415","full_text":"https://origin.rootz.global/static/filing/0001493152-24-012415.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"O of CDP, Mr. Godley was COO of WGBH (a media broadcaster and the largest producer of PBS content with annual revenue of $250 million). Mr. Godley joined WGBH in 2008 as Executive Vice President, was named Chief Operating Officer in 2010, and was additionally named President of Business Services in 2017. Prior to joining WGBH, Mr. Godley served as Senior Advisor/Deputy National Finance Director on Mitt Romneys 2008 presidenti","filed_date":"2023-03-17","accession":"0001493152-23-008086","full_text":"https://origin.rootz.global/static/filing/0001493152-23-008086.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"ming CEO of CDP, Mr. Godley was COO of WGBH (a media broadcaster and the largest producer of PBS content with annual revenue of $250m). Mr. Godley joined WGBH in 2008 as Executive Vice President, was named Chief Operating Officer in 2010, and was additionally named President of Business Services in 2017. Prior to joining WGBH, Mr. Godley served as Senior Advisor/Deputy National Finance Director on Mitt Romneys 2008 presidenti","filed_date":"2022-03-17","accession":"0001493152-22-007089","full_text":"https://origin.rootz.global/static/filing/0001493152-22-007089.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"s between Rand and the Directors classified as independent other than service on its Board of Directors and compensation paid to Directors.  The nominees for the 2016 Election of Directors have been selected by the Independent Directors of the Board upon the recommendation of Rands Governance and Nominating Committee comprised solely of independent Directors in compliance with NASDAQ Rule 5605(e)(1).  Two of the Directors are deeme","filed_date":"2016-03-11","accession":"0001193125-16-501406","full_text":"https://origin.rootz.global/static/filing/0001193125-16-501406.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"s between Rand and the Directors classified as independent other than service on its Board of Directors and compensation paid to Directors.  The nominees for the 2015 Election of Directors have been selected by the Independent Directors of the Board upon the recommendation of Rands Governance and Nominating Committee comprised solely of independent Directors in compliance with NASDAQ Rule 5605(e)(1).  Three of the Directors are dee","filed_date":"2015-03-16","accession":"0001193125-15-092893","full_text":"https://origin.rootz.global/static/filing/0001193125-15-092893.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"L 1. ELECTION OF DIRECTORS** Six Directors are to be elected at the Annual Meeting of Shareholders. The six nominees were elected at the last Annual Meeting of Shareholders.  Each of the nominees was elected to the Board of Directors at Rands last Annual Meeting of Shareholders and was recommended for re-election by the Governance and Nominating Committee, which is comprised of non-employee, independent Directors. Each of the no","filed_date":"2014-03-18","accession":"0001193125-14-103727","full_text":"https://origin.rootz.global/static/filing/0001193125-14-103727.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"1. ELECTION OF DIRECTORS** Six Directors are to be elected at the Annual Meeting of Shareholders. The six nominees were elected at the last Annual Meeting of Shareholders.  Each of the nominees were elected to the Board of Directors at Rands last Annual Meeting of Shareholders and was recommended for re-election by the Governance and Nominating Committee, which is comprised of non-management, independent Directors. Each of the","filed_date":"2013-03-22","accession":"0001193125-13-121070","full_text":"https://origin.rootz.global/static/filing/0001193125-13-121070.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"eholders. After the death of Mr. McLeese in January 2011, pursuant to the by-laws, the Board voted to reduce the number of directors comprising the Board from seven to six.  Each of the nominees were elected to the Board of Directors at Rands last Annual Meeting of Shareholders and was recommended for re-election by the Governance and Nominating Committee, which is comprised of non-management, independent Directors. Each of the","filed_date":"2012-03-15","accession":"0001193125-12-117542","full_text":"https://origin.rootz.global/static/filing/0001193125-12-117542.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":32,"match_count":4,"context":"ees three members are independent directors. **Summary Compensation Table** The following table sets forth information with respect to the compensation paid or earned for the 2006 fiscal year to each named executive officer, and to each officer of Rand with aggregate compensation from Rand in excess of $100,000. Rand is not part of a fund complex. |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  | |  |","filed_date":"2007-03-27","accession":"0000950152-07-002602","full_text":"https://origin.rootz.global/static/filing/0000950152-07-002602.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporations assets to a third party, (v) various bankruptcy and insolvency events, and (vi)","filed_date":"2025-11-07","accession":"0001193125-25-271151","full_text":"https://origin.rootz.global/static/filing/0001193125-25-271151.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporations assets to a third party, (v) various bankruptcy and insolvency events, and (vi)","filed_date":"2025-08-04","accession":"0000950170-25-101643","full_text":"https://origin.rootz.global/static/filing/0000950170-25-101643.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporations assets to a third party, (v) various bankruptcy and insolvency events, and (vi)","filed_date":"2025-05-05","accession":"0000950170-25-063187","full_text":"https://origin.rootz.global/static/filing/0000950170-25-063187.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporations assets to a third party, (v) various bankruptcy and insolvency events, and (vi)","filed_date":"2024-11-06","accession":"0000950170-24-121811","full_text":"https://origin.rootz.global/static/filing/0000950170-24-121811.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporations assets to a third party, (v) various bankruptcy and insolvency events, and (vi)","filed_date":"2024-08-06","accession":"0000950170-24-091209","full_text":"https://origin.rootz.global/static/filing/0000950170-24-091209.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporations assets to a third party, (v) various bankruptcy and insolvency events, and (vi)","filed_date":"2024-05-13","accession":"0000950170-24-058202","full_text":"https://origin.rootz.global/static/filing/0000950170-24-058202.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporation&#x2019;s assets to a third party, (v) various bankruptcy and insolvency events,","filed_date":"2023-11-06","accession":"0000950170-23-059014","full_text":"https://origin.rootz.global/static/filing/0000950170-23-059014.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporation&#x2019;s assets to a third party, (v) various bankruptcy and insolvency events,","filed_date":"2023-08-04","accession":"0000950170-23-038330","full_text":"https://origin.rootz.global/static/filing/0000950170-23-038330.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"risk_factor","strength":31,"match_count":2,"context":"on to pay any material indebtedness or obligation owing to any third party or affiliate, or the failure by the Corporation to perform any agreement with any third party or affiliate that would have a material adverse effect on the Corporation and its subsidiaries taken as a whole, (iv) the sale of all or substantially all of the Corporation&#x2019;s assets to a third party, (v) various bankruptcy and insolvency events,","filed_date":"2023-05-09","accession":"0000950170-23-019153","full_text":"https://origin.rootz.global/static/filing/0000950170-23-019153.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":31,"match_count":2,"context":"e Item 1A. Risk Factors.  **Employees** We do not have any employees. Our operations are managed by RCM, our investment adviser and administrator.  Effective December 1, 2021, Daniel P. Penberthy was appointed to serve as President and Chief Executive Officer of Rand and Margaret Brechtel was appointed to serve as Executive Vice President, Treasurer, Chief Financial Officer and Secretary of Rand.  4  [Table of Contents](#toc) W","filed_date":"2023-03-10","accession":"0001193125-23-066793","full_text":"https://origin.rootz.global/static/filing/0001193125-23-066793.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":31,"match_count":2,"context":"December 31, 2021.  Rands President and Chief Executive Officer, Allen F. Pete Grum, retired from Rand and RCM effective December 1, 2021. Concurrent with Mr. Grums departure, Daniel P. Penberthy was appointed to serve as President and Chief Executive Officer of Rand. In addition, Margaret Brechtel was appointed to serve as Executive Vice President, Treasurer, Chief Financial Officer and Secretary of Rand.  We reimburse our adm","filed_date":"2022-03-08","accession":"0001193125-22-068729","full_text":"https://origin.rootz.global/static/filing/0001193125-22-068729.html","verify":"Read the filing at the full_text URL and search for the context string to verify this signal."},{"ticker":"RAND","company":"RAND CAPITAL CORP","exchange":"Nasdaq","sector":null,"signal_type":"strategic_event","strength":31,"match_count":2,"context":"ments can be critical to the realization of maximum total return. We generally expect to dispose of our equity securities through private sales of securities to other investors or through the sale or merger of the portfolio company. 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