8-K/A 1 fp0057708_8ka.htm



Washington, D.C. 20549







Pursuant to Section 13 or

15(d) of the Securities

Exchange Act of 1934


Date of Report: September 15, 2020

(Date of earliest event reported)


Firsthand Technology Value Fund, Inc.

(Exact name of registrant as specified in its charter)


Maryland 814-00830 27-3008946
(State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification Number)
150 Almaden Blvd., Suite 1250 San Jose, CA   95113
(Address of principal executive offices)   (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


[ ] 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 5.07. Submission of Matters to a Vote of Security Holders.


This amended Form 8-K updates or corrects the tabulation information on Form 8-K filed on July 6, 2020.


Proposal 1. The Election of Director:


Nominee For Against/Withheld  Broker Non-Vote Total Shares Voted Total Shares Present
Kevin Landis 1,772,620  1,125,260 2,558,991 2,879,880 5,456,871
Kimun Lee 1,088,958  1,808,922 2,558,991 2,897,880 5,456,871


Pursuant to the foregoing votes, nominee listed above was elected to serve on the Company's Board of Directors. A broker non-vote occurs when a broker holding shares for a beneficial owner does not vote on a particular proposal because the broker does not have discretionary voting power for that particular item and has not received instructions from the beneficial owner or other persons entitled to vote.


Proposal 2. The ratification of the selection of Tait Weller & Baker as the Company’s independent registered accounting firm for the fiscal year ending December 31, 2020:


For Against Abstain Total Shares Voted Total Shares Present
3,828,200 1,569,920 58,752 5,398,120 5,456,871

Proposal 3. A non-binding stockholder proposal that the board seek and pursue any and all measures to enhance shareholder value:


For Against Abstain Broker Non-Vote Total Shares Voted Total Shares Present
1,989,935 850,558 57,387 2,558,991 2,840,493 5,456,871






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.


  By: /s/ Kevin Landis  
    Kevin Landis