0001504304-16-000161.txt : 20160328
0001504304-16-000161.hdr.sgml : 20160328
20160328092243
ACCESSION NUMBER: 0001504304-16-000161
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160328
DATE AS OF CHANGE: 20160328
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BULLDOG INVESTORS, LLC
GROUP MEMBERS: PHILLIP GOLDSTEIN
GROUP MEMBERS: STEVEN SAMUELS
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: Firsthand Technology Value Fund, Inc.
CENTRAL INDEX KEY: 0001495584
IRS NUMBER: 273008946
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-86991
FILM NUMBER: 161530963
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
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: Bulldog Investors, LLC
CENTRAL INDEX KEY: 0001504304
IRS NUMBER: 270926182
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
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 COMPANY:
FORMER CONFORMED NAME: Brooklyn Capital Management LLC
DATE OF NAME CHANGE: 20101026
SC 13D/A
1
thirda.txt
SCHEDULE 13D/A
DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT
3/24/16
1. NAME OF REPORTING PERSON
Bulldog Investors, LLC
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
DE
___________________________________________________________
7. SOLE VOTING POWER
283,184
8. SHARED VOTING POWER
197,234
9. SOLE DISPOSITIVE POWER
283,184
_______________________________________________________
10. SHARED DISPOSITIVE POWER
197,234
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
480,418 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.24%
14. TYPE OF REPORTING PERSON
IA
___________________________________________________________
1. NAME OF REPORTING PERSON
Phillip Goldstein
2. CHECK THE BOX IF MEMBER OF A GROUP a[x]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
283,184
8. SHARED VOTING POWER
197,234
9. SOLE DISPOSITIVE POWER
283,184
_______________________________________________________
10. SHARED DISPOSITIVE POWER
197,234
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
480,418 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.24%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Andrew Dakos
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
283,184
8. SHARED VOTING POWER
197,234
9. SOLE DISPOSITIVE POWER
283,184
_______________________________________________________
10. SHARED DISPOSITIVE POWER
197,234
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
480,418 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.24%
14. TYPE OF REPORTING PERSON
IN
___________________________________________________________
1. NAME OF REPORTING PERSON
Steven Samuels
2. CHECK THE BOX IF MEMBER OF A GROUP a[ ]
b[]
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) AND 2(e) []
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
___________________________________________________________
7. SOLE VOTING POWER
283,184
8. SHARED VOTING POWER
197,234
9. SOLE DISPOSITIVE POWER
283,184
_______________________________________________________
10. SHARED DISPOSITIVE POWER
197,234
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
480,418 (Footnote 1)
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
6.24%
14. TYPE OF REPORTING PERSON
IN
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #15 to the schedule 13d
filed November 22, 2013. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
As per the 10-K filed on March 15, 2016 there were 7,702,705 shares
of common stock outstanding as of 3/15/2016. The percentages set
forth herein were derived using such number.Phillip Goldstein,
Andrew Dakos and Steven Samuels own Bulldog Investors, LLC, a
registered investment advisor. As of March 24, 2016, Bulldog
Investors, LLC is deemed to be the beneficial owner of 480,418 shares
of SVVC by virtue of Bulldog Investors, LLC's power to direct the vote
of, and dispose of, these shares. These 480,418 shares of SVVC include
283,184 shares (representing 3.68% of SVVC's outstanding shares) that
are beneficially owned by (1) Mr. Goldstein and (2) the following
entities over which Messrs. Goldstein, Dakos and Samuels exercise
control: Opportunity Partners LP, Calapasas West Partners, LP, Full
Value Special Situations Fund, LP, Full Value Offshore Fund, Ltd.,
Full Value Partners, LP, Opportunity Income Plus, LP, and MCM Opportunity
Partners, LP (collectively, Bulldog Investors Group of Funds). Bulldog
Investors Group of Funds and Mr. Goldstein may be deemed to constitute
a group. All other shares included in the aforementioned 480,418 shares
of SVVC beneficially owned by Bulldog Investors, LLC (solely by virtue of
its power to sell or direct the vote of these shares) are also beneficially
owned by clients of Bulldog Investors, LLC who are not members of any
group. The total number of these "non-group" shares is 197,234 shares
(representing 2.56% of SVVC's outstanding shares).
(b)Bulldog Investors,LLC has sole power to dispose of and vote 283,184 shares.
Bulldog Investors, LLC has shared power to dispose of and vote 197,234 shares.
Certain of Bulldog Investors, LLC's clients (none of whom beneficially own more
than 5% of SVVC's shares) share this power with Bulldog Investors, LLC. Messrs.
Goldstein, Dakos and Samuels are control persons of Bulldog Investors, LLC.
c) During the last 60 days the following shares of SVVC were sold:
Date: Shares: Price:
3/8/2016 (400) 7.2500
3/9/2016 (1,000) 7.2500
3/9/2016 (4,433) 7.2620
03/14/16 (4,010) 7.2749
03/17/16 (4,936) 7.4003
03/21/16 (101) 7.4400
03/22/16 (5,162) 7.4214
03/24/16 (10,000) 7.4070
d) Beneficiaries of managed accounts are entitled to receive any
dividends or sales proceeds.
e) NA
ITEM 6. CONTRACTS,ARRANGEMENTS,UNDERSTANDINGS OR RELATIONSHIPS
WITH RESPECT TO SECURITIES OF THE ISSUER.
None.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS
None
Footnote 1: The reporting persons disclaim beneficial ownership except
to the extent of any pecuniary interest therein.
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in this
statement is true, complete and correct.
Dated: 3/28/2016
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels
Bulldog Investors, LLC
By: /s/ Andrew Dakos
Andrew Dakos, Member