Current Report Filing (8-k)
October 27 2022 - 5:30PM
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: October 27, 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) |
814-00830
(Commission File
Number) |
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) |
(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 October 27, 2022, Firsthand Technology Value Fund, Inc. issued a press
release announcing that its top five holdings as of September 30, 2022 were IntraOp Medical, Wrightspeed, Hera Systems, Revasum and EQX
Capital
The press release also announced that, of September 30, 2022, the Fund’s
top five holdings constituted 115.1% of the Fund’s preliminary net assets. The press release also announced the preliminary NAV as of September 30, 2022, was $5.58.
Item 9.01. Financial Statements and Exhibits
None
| (b) | Pro forma financial information: |
None
| (c) | Shell company transactions: |
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: October 27, 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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