Current Report Filing (8-k)
October 23 2020 - 5:19PM
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: October 23, 2020
(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)
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27-3008946
(IRS Employer
Identification Number)
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150
Almaden Blvd., Suite 1250 San Jose, CA
(Address of principal executive
offices)
|
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95113
(Zip Code)
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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:
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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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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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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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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).
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[ ]
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Emerging
growth company
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[ ]
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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.
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Item
8.01. Other Events
On October 23, 2020, Firsthand Technology
Value Fund, Inc. issued a press release announcing that its preliminary NAV, as of September 30, 2020, was $13.81. The Fund further
announced that its top five holdings as of September 30, 2020, were Pivotal Systems, IntraOp Medical, Wrightspeed, Revasum, and
SVXR.
The press release also announced that,
as of September 30, 2020, the Fund’s top holdings holdings constituted 87.3% of the Fund’s preliminary net assets
and 87.1% 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
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 23, 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
Firsthand Technology Value (NASDAQ:SVVC)
Historical Stock Chart
From Jun 2024 to Jul 2024
Firsthand Technology Value (NASDAQ:SVVC)
Historical Stock Chart
From Jul 2023 to Jul 2024