RAND offering history
Every offering-related filing in RAND CAPITAL CORP’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 690 filings back to Jan 16, 1996.
| Date | Filing | What it means | |
|---|---|---|---|
| Nov 12, 2019 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Jan 25, 2019 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Sep 4, 2009 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
| Aug 13, 2009 | 8-K → | EXECUTED | Unregistered share sale disclosed (8-K item 3.02) |
Two honest limits. (1) A 424B takedown can price shares or notes — EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.
RAND offering FAQ
When did RAND last execute an offering?
Per SEC filings, RAND CAPITAL CORP's most recent priced offering document is a 8-K filed 2019-11-12. Note a 424B takedown can price shares or notes (debt) — the linked document says which.
When did RAND last announce or register an offering?
No offering registration (S-1/S-3/F-1/F-3) appears in the filings reviewed back to 1996-01-16.
Does an offering always mean dilution?
Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.
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