Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share (SVVC)
CUSIP: 33766Y100
Q4 2017 13F Holders as of 31 Dec 2017
- Type / Class
- Equity / Common Stock, par value $0.001 per share
- Shares outstanding
- 6,904,180
- Total 13F shares
- 1,256,015
- Share change
- -161,307
- Total reported value
- $11,261,018
- Price per share
- $8.96
- Number of holders
- 25
- Value change
- -$1,215,784
- Number of buys
- 12
- Number of sells
- 7
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%
|
768,789
|
$6,154,000 | — | 30 Sep 2017 | |
| Bulldog Investors, LLP |
13F
|
Company |
3.1%
|
210,715
|
$1,687,000 | — | 30 Sep 2017 | |
| Geneos Wealth Management Inc. |
13F
|
Company |
1.5%
|
106,856
|
$855,000 | — | 30 Sep 2017 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
0.78%
|
53,880
|
$431,000 | — | 30 Sep 2017 | |
| Radcliffe Capital Management, L.P. |
13F
|
Company |
0.66%
|
45,844
|
$367,000 | — | 30 Sep 2017 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.56%
|
38,534
|
$309,000 | — | 30 Sep 2017 | |
| EQUITEC PROPRIETARY MARKETS, LLC |
13F
|
Company |
0.52%
|
36,110
|
$289,000 | — | 30 Sep 2017 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.52%
|
35,865
|
$287,000 | — | 30 Sep 2017 | |
| Yakira Capital Management, Inc. |
13F
|
Company |
0.44%
|
30,064
|
$241,000 | — | 30 Sep 2017 | |
| M Holdings Securities, Inc. |
13F
|
Company |
0.38%
|
26,000
|
$208,000 | — | 30 Sep 2017 | |
| PRECEPT MANAGEMENT LLC |
13F
|
Company |
0.36%
|
25,000
|
$200,000 | — | 30 Sep 2017 | |
| CLOUGH CAPITAL PARTNERS L P |
13F
|
Company |
0.32%
|
22,400
|
$179,000 | — | 30 Sep 2017 | |
| FT Options LLC |
13F
|
Company |
0.16%
|
11,000
|
$88,000 | — | 30 Sep 2017 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.16%
|
11,000
|
$88,000 | — | 30 Sep 2017 | |
| MORGAN STANLEY |
13F
|
Company |
0.05%
|
3,671
|
$29,000 | — | 30 Sep 2017 | |
| SIMPLEX TRADING, LLC |
13F
|
Company |
0.01%
|
596
|
$4,000 | — | 30 Sep 2017 | |
| Cutler Group LLC / CA |
13F
|
Company |
0.01%
|
500
|
$4,000 | — | 30 Sep 2017 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.01%
|
458
|
$4,000 | — | 30 Sep 2017 | |
| WHITTIER TRUST CO |
13F
|
Company |
0.01%
|
403
|
$3,000 | — | 30 Sep 2017 | |
| BANK OF MONTREAL /CAN/ |
13F
|
Company |
0%
|
308
|
$2,000 | — | 30 Sep 2017 | |
| UBS Group AG |
13F
|
Company |
0%
|
259
|
$2,000 | — | 30 Sep 2017 | |
| Asset Planning Services, Ltd. |
13F
|
Company |
0%
|
165
|
$1,000 | — | 30 Sep 2017 | |
| REILLY FINANCIAL ADVISORS, LLC |
13F
|
Company |
0%
|
86
|
$1,000 | — | 30 Sep 2017 | |
| PATHSTONE FAMILY OFFICE, LLC |
13F
|
Company |
0%
|
81
|
$1,000 | — | 30 Sep 2017 | |
| Sutton Wealth Advisors Inc. |
13F
|
Company |
0%
|
2
|
$16 | — | 30 Sep 2017 |
Institutional Holders of Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share (SVVC) as of Q4 2017
As of 31 Dec 2017,
Firsthand Technology Value Fund, Inc. - Common Stock, par value $0.001 per share (SVVC) was held by
25 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
1,256,015 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, Geneos Wealth Management Inc., CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, Radcliffe Capital Management, L.P., Yakira Capital Management, Inc., LADENBURG THALMANN FINANCIAL SERVICES INC., ROYAL BANK OF CANADA, M Holdings Securities, Inc., Precept Management LLC, and Independent Advisor Alliance.
This page lists
25
institutional shareholders reporting positions in this security
for the Q4 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2017 vs Q3 2017 Across Filers
Q3 2017 holders
23
Q4 2017 holders
25
Holder diff
2
| Investor | Q3 2017 Shares | Q4 2017 Shares | Share Diff | Share Chg % | Q3 2017 Value $ | Q4 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.