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: October 25, 2019
(Date of earliest event reported)

 

Firsthand Technology Value Fund, Inc.
(Exact name of registrant as specified in its charter)

 

Maryland
(State or other jurisdiction
of incorporation) 		814-00830
(Commission File Number) 		27-3008946
(IRS Employer
Identification Number)
 

150 Almaden Blvd., Suite 1250

San Jose, CA
(Address of principal executive offices)

  95113
(Zip Code)

 

(800) 976-8776
(Registrant's telephone number, including area code)

 

Not Applicable
(Former Name or Former Address, if changed since last report)

 

Check the appropriate box below if the Form 8-K filing 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))

 

Securities registered pursuant to Scction 12(b) of the Act

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common stock, par value $0.001 per share SVVC The NASDAQ Global Select Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

[  ] Emerging growth company

[  ] 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 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

On and effective October 25, 2019, the Board of Directors of Firsthand Technology Value Fund, Inc. (the “Company”) amended and restated the Company’s Amended and Restated Bylaws. The following is a summary of changes effected by adoption of the Amended and Restated Bylaws, which is qualified in its entirety by reference to the Amended and Restated Bylaws filed as Exhibit 3.1 hereto and incorporated by reference. The changes to the Bylaws include (1) providing the chairman of the meeting the authority to delegate to another person the power to act as chairman or secretary of the meeting, (2) adding of a majority voting provision to the plurality voting provisions of the election of directors in cases where the number of directors standing for election exceeds the number of seats available, (3) clarifying that unanimous consents by stockholders may be provided by electronic transmission as well as in writing, (4) clarifying that the exclusive forum provisions do not apply to actions arising under federal securities laws, as well as certain minor clarifying and technical changes to conform to Maryland law.

 

Item 9.01. Financial Statements and Exhibits

 

(a) Financial statements:

None

(b) Pro forma financial information:

None

(c) Shell company transactions:

None

(d) Exhibits

 

3.1 Amended and Restated Bylaws

 

 

 

SIGNATURE

 

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.

 

Dated: October 29, 2019 FIRSTHAND TECHNOLOGY VALUE FUND, INC.
       
  By: /s/ Kevin Landis  
    Kevin Landis  
    President  

 

 

 

Exhibit Index
Exhibit No. Description
3.1 Amended and Restated Bylaws

 

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