0001504304-13-000012.txt : 20130926
0001504304-13-000012.hdr.sgml : 20130926
20130926161236
ACCESSION NUMBER: 0001504304-13-000012
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20130926
DATE AS OF CHANGE: 20130926
GROUP MEMBERS: ANDREW DAKOS
GROUP MEMBERS: BULLDOG INVESTORS FUNDS
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: 131116960
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
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
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
9/25/13
1. NAME OF REPORTING PERSON
Bulldog Investors Funds, Bulldog Investors, LLC
(f/k/a Brooklyn Capital Management), Phillip Goldstein,
Andrew Dakos and Steven Samuels
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
726,356
8. SHARED VOTING POWER
0
9. SOLE DISPOSITIVE POWER
726,356
_______________________________________________________
10. SHARED DISPOSITIVE POWER
0
11. AGGREGATE AMOUNT OWNED BY EACH REPORTING PERSON
726,356
12. CHECK IF THE AGGREGATE AMOUNT EXCLUDES CERTAIN SHARES
[]
___________________________________________________________
13. PERCENT OF CLASS REPRESENTED BY ROW 11
8.49%
14. TYPE OF REPORTING PERSON
IA
_______________________________________________________
Item 1. SECURITY AND ISSUER
This statement constitutes Amendment #4 to the schedule 13d
filed September 27, 2012. Except as specifically set forth
herein, the Schedule 13d remains unmodified.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
As per the 10-Q filed on August 9, 2012 there were 8,556,480 shares
of common stock outstanding as of 06/30/2012. The percentages set
forth herein were derived using such number.Phillip Goldstein,
Andrew Dakos and Steven Samuels own Bulldog Investors, LLC
(f/k/a Brooklyn Capital Management, LLC), a registered investment advisor.
As of September 25, 2013, Bulldog Investors, LLC is deemed to be the
beneficial owner of 726,356 shares of SVVC by virtue of Bulldog Investors,
LLC's power to direct the vote of, and dispose of, these shares. These
726,356 shares of SVVC include 339,839 shares (representing 3.97% 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 Funds). Bulldog Investors Funds and Mr. Goldstein may be deemed
to constitute a group. All other shares included in the aforementioned
726,356 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
386,5175 shares (representing 4.52% of SVVC's outstanding shares).
c) During the past sixty days, the following shares of SVVC were sold:
Date: Shares: Price:
08/09/13 (1,889) 22.5000
08/12/13 (3,634) 22.6200
08/13/13 (5,335) 22.6000
08/19/13 (656) 22.7560
08/20/13 (2,486) 22.6000
08/26/13 (5,576) 24.3052
09/04/13 (5,311) 23.4025
09/05/13 (6) 23.4400
09/06/13 (3,955) 23.4325
09/10/13 (1,147) 23.4800
09/13/13 (31,800) 24.2471
09/13/13 (3,500) 24.4176
09/16/13 (6,400) 24.5112
09/17/13 (9,525) 24.4354
09/18/13 (100) 24.4500
09/20/13 (4,449) 24.2479
09/24/13 (1,604) 24.4034
09/25/13 (28,153) 24.6358
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
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: 9/26/2013
By: /s/ Phillip Goldstein
Name: Phillip Goldstein
By: /S/ Andrew Dakos
Name: Andrew Dakos
By: /S/ Steven Samuels
Name: Steven Samuels