Current Report Filing (8-k)
November 08 2017 - 4:58PM
Edgar (US Regulatory)
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):
November 8, 2017
GSV CAPITAL
CORP.
(Exact name of registrant as specified in
its charter)
Maryland
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1-35156
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27-4443543
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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2925 Woodside Road
Woodside, CA 94062
(Address of principal executive offices
and zip code)
Registrant’s telephone number, including
area code:
(650) 235-4769
Check the appropriate box below if the
Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
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¨
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Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the
Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange
Act of 1934 (17 CFR §240.12b-2).
Emerging growth company
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If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards
provided pursuant to Section 13(a) of the Exchange Act.
¨
Item 2.02.
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Results of Operations and Financial Condition.
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On November 8,
2017, GSV Capital Corp. (the “Company”) issued a press release announcing its financial results for the fiscal
quarter ended September 30, 2017. A copy of the press release is included as Exhibit 99.1 to this Current Report on
Form 8-K and is incorporated into this Item 2.02 by reference.
The information disclosed
under this Item 2.02, including the information set forth in Exhibit 99.1 hereto, is being “furnished” and shall not
be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange
Act”), or otherwise. The information in this Item 2.02 shall not be incorporated by reference into any registration
statement or other document pursuant to the Securities Act of 1933, as amended, or into any filing or other document pursuant to
the Exchange Act, except as otherwise expressly stated in any such filing.
On November
8, 2017, the Company issued a press release announcing an extension of, and increase in the amount of shares authorized to be
repurchased under, its discretionary, open-market share repurchase program. A copy of the press release is included as
Exhibit 99.1 to this Current Report on Form 8-K.
GSV Asset Management, LLC (“GSV Asset
Management”), the Company’s external investment adviser, has voluntarily agreed to extend its waiver of a portion of
the advisory fees payable by the Company to GSV Asset Management under the investment advisory agreement between the Company and
GSV Asset Management (the “Advisory Agreement”). Under the extension of the waiver, through December 31, 2018, the
Company will pay GSV Asset Management a base management fee of 1.75%, a 0.25% reduction from the 2.0% base management fee payable
under the Advisory Agreement.
Item 9.01.
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Financial Statements and Exhibits.
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______________________
* The press
release attached hereto as Exhibit 99.1 is “furnished” and not “filed,” as described in Item 2.02 of
this Current Report on Form 8-K.
SIGNATURE
Pursuant to the requirements
of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
Date: November 8, 2017
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GSV CAPITAL CORP.
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By:
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/s/ William F. Tanona
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William F. Tanona
President, Chief Financial Officer, Treasurer and Corporate Secretary
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