Current Report Filing (8-k)
March 19 2021 - 4:26PM
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 19, 2021
(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)
|
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:
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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 March 19, 2021, Firsthand Technology Value Fund, Inc. issued
a press release announcing that its top five holdings as of February 28, 2021 were IntraOp Medical, Pivotal Systems, Wrightspeed,
Revasum, and SVXR.
The press release also announced that, as of February 28, 2021,
the estimated total investments were approximately $109 million, or $15.77 per share. The Fund’s
top five holdings constituted 90.7% of the Fund’s estimated total investments.
Item 9.01. Financial Statements and Exhibits
(a)
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Financial statements:
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None
(b)
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Pro forma financial information:
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None
(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: March 19, 2021
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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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