Current Report Filing (8-k)
May 21 2021 - 4:36PM
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: May 21, 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)
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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:
[ ] 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 May 21, 2021, Firsthand Technology Value Fund, Inc. issued a press release
announcing that its top five holdings as of April 30, 2021 were IntraOp Medical, Wrightspeed, Pivotal Systems, Revasum, and Hera Systems.
The press release also announced that, as of April
30, 2021, the estimated total investments* of the Fund were approximately $118 million, or $17.15 per share, including cash and cash equivalents
of approximately $0.95 per share. As of that date, the Fund’s top five holdings constituted 87.0% 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
(d) Exhibits
99.1 Press Release dated May 21, 2021.
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: May 21, 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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