Current Report Filing (8-k)
November 24 2021 - 4:23PM
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: November 24, 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)
150 Almaden Blvd.,
Suite 1250 San Jose, CA
(Address of principal executive offices)
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814-00830
(Commission File Number)
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27-3008946
(IRS Employer Identification
Number)
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 November 23, 2021, Firsthand Technology Value Fund, Inc. issued a press
release announcing that its top five holdings as of October 31, 2021 were IntraOp Medical, Wrightspeed, Revasum, Pivotal Systems, and
Hera Systems.
The press release also announced that, of
October 31, 2021, the Fund’s top five holdings constituted 91.9% 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 November 23, 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: November 24, 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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