Form 8-K Firsthand Technology For: Aug 18

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Securities registered pursuant to Section 12(b) of the Act:

 

 

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 provisions:

 

☐ 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))

 

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.

 

 

 

 

 

 

 

 

 

 

 

 

 

Effective at the close of business on August 17, 2026, each of the directors of Firsthand Technology Value Fund, Inc. (the “Company”) who is an independent or disinterested director within the meaning of the Investment Company Act of 1940, as amended (the “Company Act”), resigned as a director. The resigning directors were Greg Burglin and Kimun Lee. After those resignations, Kevin Landis remains as the sole director of the Company.

 

Certain other officers of the Company also resigned effective at the close of business on August 17, 2026, as follows:

Nichole Mileski resigned as the Chief Compliance Officer and Assistant Secretary.

Kelvin Leung resigned as the Secretary.

 

Kevin Landis remains as the President and Chief Executive Officer, and Chief Financial Officer and now also serves as Secretary of the Company.

 

The Company does not plan to replace those resigning directors because it expects to file to withdraw its status as a business development company under the Company Act before August 31, 2026, and to pursue liquidation and dissolution.

 

 

 

 

 

 

 

 

 

 

 

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.