Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share (SVVC)
CUSIP: 33766Y100
Q3 2017 13F Holders as of 30 Sep 2017
- Type / Class
- Equity / Common Stock, par value $0.001 per share
- Shares outstanding
- 6,904,180
- Total 13F shares
- 1,428,077
- Share change
- -86,373
- Total reported value
- $11,429,016
- Price per share
- $8.00
- Number of holders
- 23
- Value change
- -$713,142
- Number of buys
- 7
- Number of sells
- 11
Quarterly Holders Quick Answers
What is CUSIP 33766Y100?
CUSIP 33766Y100 identifies SVVC - Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share in SEC institutional holdings data.
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Recent filing periods for CUSIP 33766Y100:
Top shareholders of SVVC - Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked by the holder's primary source value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
11%
|
763,723
|
$6,408,000 | — | 30 Jun 2017 | |
| Bulldog Investors, LLP |
13F
|
Company |
3.6%
|
248,905
|
$2,088,000 | — | 30 Jun 2017 | |
| Geneos Wealth Management Inc. |
13F
|
Company |
1.3%
|
92,124
|
$772,000 | — | 30 Jun 2017 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
1.2%
|
85,341
|
$717,000 | — | 30 Jun 2017 | |
| Radcliffe Capital Management, L.P. |
13F
|
Company |
0.66%
|
45,844
|
$385,000 | — | 30 Jun 2017 | |
| EQUITEC PROPRIETARY MARKETS, LLC |
13F
|
Company |
0.65%
|
44,937
|
$377,000 | — | 30 Jun 2017 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.56%
|
38,865
|
$326,000 | — | 30 Jun 2017 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.52%
|
36,058
|
$303,000 | — | 30 Jun 2017 | |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP |
13F
|
Company |
0.45%
|
31,069
|
$261,000 | — | 30 Jun 2017 | |
| M Holdings Securities, Inc. |
13F
|
Company |
0.38%
|
26,000
|
$218,000 | — | 30 Jun 2017 | |
| PRECEPT MANAGEMENT LLC |
13F
|
Company |
0.36%
|
25,000
|
$210,000 | — | 30 Jun 2017 | |
| Yakira Capital Management, Inc. |
13F
|
Company |
0.36%
|
24,839
|
$208,000 | — | 30 Jun 2017 | |
| FT Options LLC |
13F
|
Company |
0.29%
|
20,000
|
$168,000 | — | 30 Jun 2017 | |
| Ancora Advisors LLC |
13F
|
Company |
0.2%
|
13,660
|
$115,000 | — | 30 Jun 2017 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.16%
|
11,000
|
$92,000 | — | 30 Jun 2017 | |
| WOLVERINE TRADING, LLC |
13F
|
Company |
0.15%
|
10,284
|
$86,000 | — | 30 Jun 2017 | |
| UBS Group AG |
13F
|
Company |
0.02%
|
1,549
|
$13,000 | — | 30 Jun 2017 | |
| SIMPLEX TRADING, LLC |
13F
|
Company |
0.02%
|
1,186
|
$9,000 | — | 30 Jun 2017 | |
| SEI INVESTMENTS CO |
13F
|
Company |
0.01%
|
1,015
|
$9,000 | — | 30 Jun 2017 | |
| Creative Planning |
13F
|
Company |
0.01%
|
510
|
$4,000 | — | 30 Jun 2017 | |
| Cutler Group LLC / CA |
13F
|
Company |
0.01%
|
500
|
$4,000 | — | 30 Jun 2017 | |
| WHITTIER TRUST CO |
13F
|
Company |
0.01%
|
403
|
$3,000 | — | 30 Jun 2017 | |
| BANK OF MONTREAL /CAN/ |
13F
|
Company |
0%
|
308
|
$3,000 | — | 30 Jun 2017 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0%
|
305
|
$3,000 | — | 30 Jun 2017 | |
| Asset Planning Services, Ltd. |
13F
|
Company |
0%
|
165
|
$1,000 | — | 30 Jun 2017 | |
| REILLY FINANCIAL ADVISORS, LLC |
13F
|
Company |
0%
|
86
|
$1,000 | — | 30 Jun 2017 | |
| PATHSTONE FAMILY OFFICE, LLC |
13F
|
Company |
0%
|
81
|
$1,000 | — | 30 Jun 2017 | |
| Sutton Wealth Advisors Inc. |
13F
|
Company |
0%
|
2
|
$17 | — | 30 Jun 2017 |
Institutional Holders of Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share (SVVC) as of Q3 2017
As of 30 Sep 2017,
Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share (SVVC) was held by
23 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
1,428,077 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, Bulldog Investors, LLC, Geneos Wealth Management Inc., CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, Radcliffe Capital Management, L.P., LADENBURG THALMANN FINANCIAL SERVICES INC., EQUITEC PROPRIETARY MARKETS, LLC, ROYAL BANK OF CANADA, Yakira Capital Management, Inc., and M Holdings Securities, Inc..
This page lists
23
institutional shareholders reporting positions in this security
for the Q3 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2017 vs Q2 2017 Across Filers
Q2 2017 holders
25
Q3 2017 holders
23
Holder diff
-2
| Investor | Q2 2017 Shares | Q3 2017 Shares | Share Diff | Share Chg % | Q2 2017 Value $ | Q3 2017 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.