Current Report Filing (8-k)
December 11 2020 - 1:22PM
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: December 11, 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 jurisdiction
of incorporation)
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(Commission File Number)
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(IRS Employer Identification Number)
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150 Almaden Blvd.,
Suite 1250 San Jose, CA
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95113
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(Address of principal executive offices)
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(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:
[ ] 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 December 10, 2020, Firsthand Technology Value Fund, Inc. issued
a press release announcing that its top five holdings as of November 30, 2020, were Pivotal Systems, IntraOp Medical, Wrightspeed,
Revasum, and SVXR.
The press release also announced that, as of November 30, 2020,
the estimated total investments of the Fund were approximately $102 million, or $14.78 per share.
The Fund further announced that the Fund’s top five holdings constituted 89.7% of the
Fund’s estimated 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 December 10, 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: December 11, 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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