0001398344-15-000401.txt : 20150128 0001398344-15-000401.hdr.sgml : 20150128 20150128161757 ACCESSION NUMBER: 0001398344-15-000401 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150126 FILED AS OF DATE: 20150128 DATE AS OF CHANGE: 20150128 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Firsthand Technology Value Fund, Inc. CENTRAL INDEX KEY: 0001495584 IRS NUMBER: 273008946 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 150 ALMADEN BLVD. STREET 2: SUITE 1250 CITY: SAN JOSE STATE: CA ZIP: 95113 BUSINESS PHONE: 408-886-7096 MAIL ADDRESS: STREET 1: 150 ALMADEN BLVD. STREET 2: SUITE 1250 CITY: SAN JOSE STATE: CA ZIP: 95113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Samuels Steven CENTRAL INDEX KEY: 0001561169 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00830 FILM NUMBER: 15555083 MAIL ADDRESS: STREET 1: 72 COLEYTOWN ROAD CITY: WESTPORT STATE: CT ZIP: 06882 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dakos Andrew CENTRAL INDEX KEY: 0001341021 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00830 FILM NUMBER: 15555084 MAIL ADDRESS: STREET 1: PARK 80 WEST STREET 2: 250 PEHLE AVE. STE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP CENTRAL INDEX KEY: 0001067621 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00830 FILM NUMBER: 15555085 MAIL ADDRESS: STREET 1: 60 HERITAGE DRIVE CITY: PLEASANTVILLE STATE: NY ZIP: 10570 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Bulldog Investors, LLC CENTRAL INDEX KEY: 0001504304 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00830 FILM NUMBER: 15555086 BUSINESS ADDRESS: STREET 1: PARK 80 WEST - PLAZA TWO STREET 2: 250 PEHLE AVE. SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 BUSINESS PHONE: 201 556-0092 MAIL ADDRESS: STREET 1: PARK 80 WEST - PLAZA TWO STREET 2: 250 PEHLE AVE. SUITE 708 CITY: SADDLE BROOK STATE: NJ ZIP: 07663 FORMER NAME: FORMER CONFORMED NAME: Brooklyn Capital Management LLC DATE OF NAME CHANGE: 20101026 4 1 fp0012965_4.xml OWNERSHIP DOCUMENT X0306 4 2015-01-26 0 0001495584 Firsthand Technology Value Fund, Inc. SVVC 0001504304 Bulldog Investors, LLC PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 0 0001067621 GOLDSTEIN PHILLIP PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 0 0001341021 Dakos Andrew PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 0 0001561169 Samuels Steven PARK 80 WEST - PLAZA TWO 250 PEHLE AVE., SUITE 708 SADDLE BROOK NJ 07663 0 0 1 0 Common Stock 2015-01-26 4 S 0 200 17.10 D 746913 I By Clients Common Stock 5000 D Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SVVC. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Messrs. Dakos, Samuels and Goldstein also are the Principals of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and limited partners in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in shares held by such clients, except to the extent of any pecuniary interest therein. Shares are held by Phillip Goldstein. /s/ Phillip Goldstein on behalf of Bulldog Investors, LLC 2015-01-28 /s/ Phillip Goldstein 2015-01-28 /s/ Andrew Dakos 2015-01-28 /s/ Steven Samuels 2015-01-28