Current Report Filing (8-k)
March 26 2020 - 2:36PM
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: March 25, 2020
(Date
of earliest event reported)
Firsthand
Technology Value Fund, Inc.
(Exact
name of registrant as specified in its charter)
Maryland
|
814-00830
|
27-3008946
|
(State
or other jurisdiction
|
(Commission
|
(IRS
Employer
|
of
incorporation)
|
File
Number)
|
Identification
Number)
|
|
|
|
150
Almaden Blvd.,
Suite 1250 San Jose, CA
|
|
95113
|
(Address
of principal executive offices)
|
|
(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 Section 12(b) of the Act:
Title
of each class
|
Trading
Symbol(s)
|
Name
of each exchange on which registered
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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
8.01. Other Events
On
March 25, 2020, Firsthand Technology Value Fund, Inc. issued a press release announcing its top portfolio holdings at the end
of February 2020. The top holdings include Pivotal Systems, IntraOp Medical, Wrightspeed, Revasum and Hera Systems. The press
release also announced that, as of February 29, 2020, the Fund’s top holdings constituted 88.6% of the Fund’s estimated
total investments.
Item
9.01. Financial Statements and Exhibits
|
(a)
|
Financial
statements:
|
None
|
(b)
|
Pro
forma financial information:
|
None
|
(c)
|
Shell
company transactions:
|
None
99.1 Press
Release dated March 25, 2020.
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: March 25,
2020
|
FIRSTHAND TECHNOLOGY VALUE FUND,
INC.
|
|
|
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By
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/s/
Kevin Landis
|
|
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Kevin
Landis
President
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Exhibit
Index
Exhibit
No.
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Description
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99.1
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Press release dated
February 6, 2020
|
|
|
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