SEC Form 4 · accession 0001398344-15-000609
Firsthand Technology Value Fund, Inc. · SVVC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Phillip Goldstein
10% Owner
Andrew Dakos
10% Owner
Bulldog Investors, LLC
10% Owner
Steven Samuels
10% Owner
Period of report
Jan 30, 2015
Accepted (ET)
Feb 4, 2015 · 11:34 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001495584
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 30, 2015 | S | 1,376 | $15.95 | D | 732,537 | I | By Clients |
| Common StockF1,F2 | Feb 2, 2015 | J | 127,314 | $23.2702 | D | 605,223 | I | By Clients |
| Common StockF3 | Feb 2, 2015 | J | 852 | $23.2702 | D | 4,148 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Certain 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.
- F2Andrew 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.
- F3Shares are held by Phillip Goldstein.
- F4Shares were disposed of pursuant to an issuer tender offer.