Current Report Filing (8-k)
April 29 2020 - 6:14AM
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: April 28, 2020
(Date of earliest event reported)
Firsthand Technology Value Fund,
Inc.
(Exact name of registrant as
specified in its charter)
Maryland
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814-00830
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27-3008946
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(State
or other
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(Commission
File
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(IRS
Employer
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jurisdiction
of
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Number)
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Identification
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incorporation)
|
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Number)
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150 Almaden Blvd.,
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95113
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Suite 1250 San Jose, CA
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(Zip
Code)
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(Address
of principal executive
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offices)
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(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
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Trading Symbol(s)
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Name of each exchange on which registered
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Common stock, par value $0.001 per share
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SVVC
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The NASDAQ Global Select Market
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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 (§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 April 28, 2020, Firsthand Technology Value Fund, Inc.
issued a press release announcing its preliminary NAV for March 31, 2020, and the Fund's top portfolio holdings at the end of
March 2020. The top holdings include Pivotal Systems, IntraOp Medical, Wrightspeed, Revasum and SVXR. The press release also
announced that, as of March 31, 2020, the Fund’s top holdings constituted 84.4% of the Fund’s preliminary net
assets, and 86.1% of our preliminary total investments.
Item 9.01. Financial Statements and Exhibits
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(a)
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Financial statements:
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None
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(b)
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Pro forma financial information:
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None
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(c)
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Shell company transactions:
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None
99.1 Press Release
dated April 28, 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:
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April 28, 2020
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FIRSTHAND TECHNOLOGY VALUE FUND, INC.
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By:
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/s/ Kevin Landis
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Kevin Landis
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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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