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SVVC Firsthand Technology Value Fund

 

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: April 28, 2020

(Date of earliest event reported)

 

Firsthand Technology Value Fund, Inc.

(Exact name of registrant as specified in its charter)

 

Maryland814-0083027-3008946
(State or other(Commission File(IRS Employer
jurisdiction ofNumber)Identification
incorporation) Number)
   
150 Almaden Blvd., 

95113

Suite 1250 San Jose, CA 

(Zip Code)

(Address of principal executive  
offices)  

 

(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 classTrading Symbol(s)Name of each exchange on which registered
Common stock, par value $0.001 per shareSVVCThe 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 April 28, 2020, Firsthand Technology Value Fund, Inc. issued a press release announcing its preliminary NAV for March 31, 2020, and the Fund's top portfolio holdings at the end of March 2020. The top holdings include Pivotal Systems, IntraOp Medical, Wrightspeed, Revasum and SVXR. The press release also announced that, as of March 31, 2020, the Fund’s top holdings constituted 84.4% of the Fund’s preliminary net assets, and 86.1% of our preliminary 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 April 28, 2020.

 

 

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:April 28, 2020 FIRSTHAND TECHNOLOGY VALUE FUND, INC. 
      
   By:/s/ Kevin Landis 
    Kevin Landis 
    President 

 

 

Exhibit Index

 

Exhibit No.Description
99.1Press release dated February 6, 2020