{"url_path":"/sec/svvc/10-q/2026/item-6","section_key":"item-6","section_title":"Item 6 **    **EXHIBITS.**","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-14","source_url":"https://www.sec.gov/Archives/edgar/data/1495584/0001437749-26-017006-index.html","accession_number":"0001437749-26-017006","cik":"0001495584","ticker":"SVVC","issuer_name":"Firsthand Technology Value Fund, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1495584/0001437749-26-017006-index.html","primary_entity_key":"0001495584","primary_entity_name":"Firsthand Technology Value Fund, Inc."},"word_count":1001,"has_tables":true,"body_markdown":"**ITEM 6.**    **EXHIBITS.**\n\n \n\n**EXHIBIT NUMBER**\n\n**Description**\n\n[3.1](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n[Registrant’s Articles of Amendment and Restatement are incorporated by reference to Exhibit (a)(2) of Pre-Effective Amendment No. 1 to the Registrant’s Registration Statement on Form N-2 (File No. 333-168195) as filed with the Securities and Exchange Commission on September 24, 2010.](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n\n \n \n\n[3.2](http://www.sec.gov/Archives/edgar/data/1495584/000139834412000645/0001398344-12-000645-index.htm)\n[Certificate of Correction to Registrant’s Articles of Amendment and Restatement is incorporated by reference to Exhibit (a)(2) of the Registrant’s Registration Statement on Form N-2 (File No. 333-179606) as filed with the Securities and Exchange Commission on February 21, 2012.](http://www.sec.gov/Archives/edgar/data/1495584/000139834412000645/0001398344-12-000645-index.htm)\n\n \n \n\n[3.3](http://www.sec.gov/Archives/edgar/data/1495584/000139834419018719/0001398344-19-018719-index.htm)\n[Registrant’s Amended and Restated Bylaws is incorporated by reference to Exhibit 3.1 to the Registrant’s Form 8-K as filed with the Securities and Exchange Commission on October 29, 2019.](http://www.sec.gov/Archives/edgar/data/1495584/000139834419018719/0001398344-19-018719-index.htm)\n\n \n \n\n[10.1](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001566/0001398344-10-001566-index.htm)\n[Registrant’s Dividend Reinvestment Plan is incorporated by reference to Exhibit (e) of Pre-Effective Amendment to the Registrant’s Registration Statement on Form N-2 (File No. 333-168195) as filed with the Securities and Exchange Commission on September 24, 2010.](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001566/0001398344-10-001566-index.htm)\n\n \n \n\n[10.2](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n[Form of Investment Management Agreement between Registrant and SiVest Group, Inc. (now known as Firsthand Capital Management, Inc.) is incorporated by reference to Exhibit (g) of Pre-Effective Amendment to the Registrant’s Registration Statement on Form N-2 (File No. 333-168195) as filed with the Securities and Exchange Commission on September 24, 2010.](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n\n \n \n\n[10.3](http://www.sec.gov/Archives/edgar/data/1495584/000143774924035294/0001437749-24-035294-index.htm)\n[Fee Waiver Agreement effective September 30, 2023, is incorporated by reference to Exhibit 10 of the Registrant's Form 10-Q for the quarter ended September 30, 2023 as filed with the Securities and Exchange Commission on November 14, 2023.](http://www.sec.gov/Archives/edgar/data/1495584/000143774924035294/0001437749-24-035294-index.htm)\n\n \n \n\n[10.4](http://www.sec.gov/Archives/edgar/data/1495584/000143774924016607/0001437749-24-016607-index.htm)\n[Fee Waiver Agreement effective March 31, 2024 is incorporated by reference to Exhibit 10 of the Registrant's Form 10-Q for the quarter ended March 31, 2024 as filed with the Securities and Exchange Commission on May 14, 2024.](http://www.sec.gov/Archives/edgar/data/1495584/000143774924016607/0001437749-24-016607-index.htm)\n\n \n \n\n[10.5](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n[Form of Custodian Services Agreement between Registrant and PFPC Trust Company is incorporated by reference to Exhibit (j) of Pre-Effective Amendment to the Registrant’s Registration Statement on Form N-2 (File No. 333-168195) as filed with the Securities and Exchange Commission on September 24, 2010.](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n\n \n \n\n[10.6](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n[Form of Administration and Accounting Agreement between Registrant and BNY Mellon Investment Servicing (US), Inc. is incorporated by reference to Exhibit (k)(1) of Pre-Effective Amendment to the Registrant’s Registration Statement on Form N-2 (File No. 333-168195) as filed with the Securities and Exchange Commission on September 24, 2010.](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n\n \n \n\n[10.6.1](http://www.sec.gov/Archives/edgar/data/1495584/000139834419005098/0001398344-19-005098-index.htm)\n[Form of Amendment to Administration and Accounting Agreement between Registrant and BNY Mellon Investment Servicing (US), Inc. as filed with the Securities and Exchange Commission on March 18, 2019.](http://www.sec.gov/Archives/edgar/data/1495584/000139834419005098/0001398344-19-005098-index.htm)\n\n \n \n\n[10.7](http://www.sec.gov/Archives/edgar/data/1495584/000139834412000645/0001398344-12-000645-index.htm)\n[Notice of Assignment dated February 9, 2011 by PFPC Trust Company assigning Custodian Services Agreement is incorporated by reference to Exhibit (j)(2) of the Registrant’s Registration Statement on Form N-2 (File No. 333-179606) as filed with the Securities and Exchange Commission on February 21, 2012.](http://www.sec.gov/Archives/edgar/data/1495584/000139834412000645/0001398344-12-000645-index.htm)\n\n \n \n\n[10.8](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n[Form of Transfer Agency Services Agreement between Registrant and BNY Mellon Investment Servicing (US), Inc. is incorporated by reference to Exhibit (k)(2) of Pre-Effective Amendment to the Registrant’s Registration Statement on Form N-2 (File No. 333-168195) as filed with the Securities and Exchange Commission on September 24, 2010.](http://www.sec.gov/Archives/edgar/data/1495584/000139834410001236/0001398344-10-001236-index.htm)\n\n \n \n\n[31.1](ex_812436.htm)\n\n[Chief Executive Officer Certification Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ex_955152.htm)\n\n \n \n\n[31.2](ex_955153.htm)\n\n[Chief Financial Officer Certification Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ex_955153.htm)\n\n \n \n\n[32.](ex_955154.htm)\n\n[Chief Executive Officer and Chief Financial Officer Certification Pursuant to Section 1350, Chapter 63 of Title 18, United States Code, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002](ex_955154.htm)\n\n \n \n\n101.\nThe following financial information from Firsthand Technology Vale Fund’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2025, formatted in iXBRL (Inline Extensible Business Reporting Language): (i) Consolidated Statements of Income for the three and three months ended March 31, 2025 and March 31, 2024; (ii) Consolidated Statements of Comprehensive Income for the three and three months ended March 31, 2025 and March 31, 2024; (iii) Consolidated Balance Sheets as of March 31, 2025 and December 31, 2024; (iv) Consolidated Statements of Cash Flows for the three months ended March 31, 2025 and March 31, 2024; and (v) Notes to Consolidated Financial Statements.\n\n \n \n\n104.\nCover Page Interactive Data File (the cover page XBRL tags are embedded within the iXBRL document and included in Exhibit 101).\n\n \n\n41\n\n[Table of Contents](#toc)\n\n \n\n**SIGNATURES**\n\n \n\nPursuant to the requirements of the Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n \n\n \n \n\nFIRSTHAND TECHNOLOGY VALUE FUND, INC.\n\n(Registrant)\n\nDated: May 14, 2025\n\n \n\n \n\n \n \n\nKevin Landis\n\nChief Executive Officer and Chief Financial Officer\n\n \n\n**EXHIBIT INDEX**\n\n \n\n**EXHIBIT NUMBER**\n\n**Description**\n\n[31.1](ex_955152.htm)\n\n[Chief Executive Officer Certification Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ex_955152.htm)\n\n \n \n\n[31.2](ex_955153.htm)\n\n[Chief Financial Officer Certification Pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ex_955153.htm)\n\n \n \n\n[32.](ex_955154.htm)\n\n[Chief Executive Officer and Chief Financial Officer Certification Pursuant to Section 1350, Chapter 63 of Title 18, United States Code, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002](ex_955154.htm)\n\n \n \n\n101.\nThe following financial information from Firsthand Technology Vale Fund’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, formatted in iXBRL (Inline Extensible Business Reporting Language): (i) Consolidated Statements of Income for the three and three months ended March 31, 2026 and March 31, 2025; (ii) Consolidated Statements of Comprehensive Income for the three and three months ended March 31, 2026 and March 31, 2025; (iii) Consolidated Balance Sheets as of March 31, 2026 and December 31, 2025; (iv) Consolidated Statements of Cash Flows for the three months ended March 31, 2026 and March 31, 2025; and (v) Notes to Consolidated Financial Statements.\n\n \n \n\n104.\nCover Page Interactive Data File (the cover page XBRL tags are embedded within the iXBRL document and included in Exhibit 101).\n\n \n\n42"}