Current Report Filing (8-k)
April 01 2022 - 6:04AM
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 31, 2022
(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 |
Trading Symbol(s) |
Name of each exchange on which registered |
Common stock, par value $0.001 per share |
SVVC |
The NASDAQ Global Select Market |
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 March 31, 2022, Firsthand Technology Value Fund, Inc. issued a press
release announcing that its top five holdings as of February 28, 2022 were IntraOp Medical, Revasum, Wrightspeed, Hera Systems, and Pivotal
Systems.
The press release also announced that, of February 28, 2022, the Fund’s
top five holdings constituted 95.5% 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
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 31, 2022 |
FIRSTHAND TECHNOLOGY VALUE FUND, INC. |
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By: |
/s/ Kevin Landis |
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Kevin Landis |
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President |
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