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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: February 03, 2023

(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)

     

150 Almaden Blvd.,

Suite 1250 San Jose, CA

(Address of principal executive offices)

  

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 February 3, 2023, Firsthand Technology Value Fund, Inc. issued a press release announcing that its top five holdings as of December 31, 2022 were IntraOp Medical, Wrightspeed, Hera Systems, Revasum, and EQX Capital.

 

The press release also announced that, of December 31, 2022, the Fund’s top five holdings constituted 125.0% of the Fund’s preliminary net assets, and 95.4% 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 February 3, 2023.

 

 

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: February 3, 2023 FIRSTHAND TECHNOLOGY VALUE FUND, INC.
       
  By: /s/ Kevin Landis  
    Kevin Landis  
    President  

 

 

Exhibit Index

 

Exhibit No. Description
99.1 Press release dated February 3, 2023
Firsthand Technology Value (NASDAQ:SVVC)
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