Current Report Filing (8-k)
June 20 2014 - 8:12AM
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):
June 20, 2014 (June 18, 2014)
GSV CAPITAL CORP.
(Exact name of registrant as specified in
its charter)
Maryland |
|
1-35156 |
|
27-4443543 |
(State or other jurisdiction |
|
(Commission File Number) |
|
(I.R.S. Employer Identification No.) |
of incorporation) |
|
|
|
|
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:
¨ Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425)
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange
Act (17 CFR 240.14a-12)
¨ Pre-commencement communications pursuant to Rule 14d-2(b)
under the Exchange Act (17 CFR 240.14d-2(b))
¨ Pre-commencement communications pursuant to Rule 13e-4(c)
under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements
of Certain Officers.
On June 18, 2014, the Board of Directors
(the “Board”) of GSV Capital Corp. (the “Company”) accepted the resignation of Stephen D. Bard, the Company’s
Chief Compliance Officer, Chief Financial Officer, Treasurer and Secretary. Mr. Bard’s resignation is effective immediately.
In addition, the Board appointed William Tanona to serve as the Company’s Chief Financial Officer, Treasurer and Secretary
and Carl M. Rizzo to serve as the Company’s Chief Compliance Officer, in each case effective as of June 18, 2014, in place
of Stephen D. Bard.
A press release regarding the departure
of Mr. Bard and the appointment of Messrs. Tanona and Rizzo is attached hereto as Exhibit 99.1and incorporated by reference herein.
Item 9.01 Financial Statements and Exhibits.
|
Exhibit No. |
|
Description |
|
|
|
|
|
99.1 |
|
Press release dated June 20, 2014 |
SIGNATURES
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: June 20, 2014 |
GSV CAPITAL CORP. |
|
|
|
|
|
|
|
By: |
/s/ Mark W. Flynn |
|
|
Mark W. Flynn |
|
|
President |
GSV Capital Corp. Announces Management
Transitions
WOODSIDE, Calif., June 20, 2014 (GLOBE NEWSWIRE) -- GSV Capital
Corp., ("GSV"), (Nasdaq:GSVC), today announced that William Tanona was appointed GSV’s Chief Financial Officer,
Treasurer and Secretary and Carl Rizzo was named Chief Compliance Officer, both appointments are effective June 18, 2014. Stephen
Bard has resigned as the company’s Chief Financial Officer, Treasurer, Secretary and Chief Compliance Officer and will assist
in an advisory capacity to ensure a smooth transition to his successors.
“I want to thank Steve for his leadership during our formative
years at GSV Capital and wish him best in his new endeavors” said Michael Moe, GSV’s Chief Executive Officer of GSV
Asset Management. “Bill Tanona is a highly regarded financial executive with nearly two decades of Wall Street experience
primarily in the financial services sector. Carl Rizzo is an experienced asset management compliance attorney and consultant. We
are confident that Bill and Carl will be tremendous assets for GSV Capital as we move forward.”
William Tanona was most recently a managing director at Fortress
Investment Group. Prior to joining Fortress in 2011, Mr. Tanona was at UBS AG from 2010 – 2011 and has spent over a decade
at various global investment banks including Goldman Sachs and JPMorgan as an equity research analyst covering financial institutions.
Mr. Tanona graduated from Villanova University’s School of Business with an Accounting major. Mr. Tanona has been awarded
the Chartered Financial Analyst (CFA) designation.
Carl Rizzo has served as a Director at Alaric Compliance Services
LLC since April 2011 and will perform his functions as the Company’s Chief Compliance Officer under the terms of an agreement
between the Company and Alaric Compliance Services LLC. Before joining Alaric, Rizzo served as a Vice President at Steelbridge
Compliance LLC. From 2009 to late 2010, he was self-employed as an independent investment management regulatory compliance consultant.
From 2006 – 2009, Rizzo served as Senior Principal Consultant with ACA Compliance Group, a regulatory compliance consulting
firm. Prior to that, he was the Assistant General Counsel at Bank of America Corp. Rizzo began his compliance career serving as
Senior and Special Counsel on the staff of the SEC's Division of Investment Management. He holds a Masters of Law degree in
federal securities regulation from Georgetown University.
About GSV Capital Corp.
GSV Capital Corp. (GSVC)
is a publicly traded investment fund that seeks to invest in high-growth, venture-backed private companies. Led by industry veteran
Michael Moe, the fund seeks to create a portfolio of high-growth emerging private companies via a repeatable and disciplined investment
approach, as well as to provide investors with access to such companies through its publicly traded common stock. GSV Capital
is headquartered in Woodside, CA. www.gsvcap.com
Follow GSV Capital on Twitter: @gsvcap
The GSV Capital Corp. logo is available at http://www.globenewswire.com/newsroom/prs/?pkgid=12750
GSV Capital (NASDAQ:GSVC)
Historical Stock Chart
From Sep 2024 to Oct 2024
GSV Capital (NASDAQ:GSVC)
Historical Stock Chart
From Oct 2023 to Oct 2024