UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
Current Report Pursuant to Section 13 or 15 (d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
February 4, 2004
Rand Capital Corporation
(Exact Name of registrant as specified in its charter)
New York 811-1825 16-0961359
(State or other jurisdiction (Commission File Number) (IRS Employer
of incorporation) Identification Number)
2200 Rand Building
Buffalo, New York 14203
(Address of principal executive offices and zip code)
Registrant's telephone number, including area code: (716) 853-0802
Item 7: Financial Statements and Exhibits
(a) Not Applicable
(b) Not Applicable
(c) Exhibits
Exhibit No. Description
----------- -----------
99.1 Press release dated February 4, 2004
Item 9: Regulation FD Disclosure
In accordance with interim guidance of the Securities and Exchange
Commission, this disclosure pursuant to Item 12 of Form 8-K is made
under Item 9.
On February 4, 2004, Rand Capital Corporation issued a press release
announcing its net asset value for the quarter ended December 31,
2003. The text of the press release is included as an exhibit to this
Form 8-K. Pursuant to the rules and regulations of the Securities and
Exchange Commission, such exhibit and the information set forth
therein and herein is deemed to be furnished and shall not be deemed
to be filed.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934,
the Registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
Date: February 4, 2004 Rand Capital Corporation
By: /s/ Daniel P. Penberthy
-------------------------------------
Daniel P. Penberthy
Executive Vice President/Chief
Financial Officer
EXHIBIT INDEX
Exhibit No. Description
----------- -----------
99.1 Press release dated February 4, 2004