SEC Form SC 13D/A filed by Firsthand Technology Value Fund Inc. (Amendment)
1 | NAME OF REPORTING PERSONS STAR EQUITY FUND, LP | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS WC | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,501,663 | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER 1,501,663 | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,501,663 | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.79% | |||||||
14 | TYPE OF REPORTING PERSON PN |
1 | NAME OF REPORTING PERSONS STAR EQUITY FUND GP, LLC | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS AF | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,501,663 | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER 1,501,663 | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,501,663 | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.79% | |||||||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSONS STAR INVESTMENT MANAGEMENT, LLC | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS AF | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION CONNECTICUT | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,501,663 | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER 1,501,663 | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,501,663 | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.79% | |||||||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSONS STAR EQUITY HOLDINGS, INC. | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS AF, OO | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,501,663 | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER 1,501,663 | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,501,663 | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.79% | |||||||
14 | TYPE OF REPORTING PERSON CO |
1 | NAME OF REPORTING PERSONS JEFFREY E. EBERWEIN | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS AF, PF | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,501,663 | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER 1,501,663 | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,501,663 | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.79% | |||||||
14 | TYPE OF REPORTING PERSON IN |
1 | NAME OF REPORTING PERSONS STAR VALUE, LLC | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS AF | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 1,501,663 | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER 1,501,663 | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,501,663 | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 21.79% | |||||||
14 | TYPE OF REPORTING PERSON OO |
1 | NAME OF REPORTING PERSONS HANNAH M. BIBLE | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS AF, PF | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER -0- | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% | |||||||
14 | TYPE OF REPORTING PERSON IN |
1 | NAME OF REPORTING PERSONS ROBERT G. PEARSE | |||||||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*(a) ☒ (b) ☐ | |||||||
3 | SEC USE ONLY | |||||||
4 | SOURCE OF FUNDS AF, PF | |||||||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)☐ | |||||||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION USA | |||||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER -0- | ||||||
8 | SHARED VOTING POWER - 0 - | |||||||
9 | SOLE DISPOSITIVE POWER -0- | |||||||
10 | SHARED DISPOSITIVE POWER - 0 - | |||||||
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- | |||||||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES☐ | |||||||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% | |||||||
14 | TYPE OF REPORTING PERSON IN |
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 1,501,663
4. Shared power to dispose or direct the disposition: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 1,501,663
4. Shared power to dispose or direct the disposition: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 1,501,663
4. Shared power to dispose or direct the disposition: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 1,501,663
3. Sole power to dispose or direct the disposition: 1,501,663
4. Shared power to dispose or direct the disposition: 0
2. Shared power to vote or direct vote: 0
3. Sole power to dispose or direct the disposition: 1,501,663
4. Shared power to dispose or direct the disposition: 0
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 0
3. Sole power to dispose or direct the disposition: 0
4. Shared power to dispose or direct the disposition: 0
Star Equity Fund, LP | |||||||||||
By: | Star Equity Fund GP, LLC General Partner | ||||||||||
By: | /s/ Jeffrey E. Eberwein | ||||||||||
Name: | Jeffrey E. Eberwein | ||||||||||
Title: | Manager |
Star Equity Holdings, Inc. | |||||||||||
By: | /s/ Richard K Coleman Jr. | ||||||||||
Name: | Richard K. Coleman, Jr. | ||||||||||
Title: | Chief Executive Officer |
Star Equity Fund GP, LLC | |||||||||||
By: | /s/ Jeffrey E. Eberwein | ||||||||||
Name: | Jeffrey E. Eberwein | ||||||||||
Title: | Manager |
Star Investment Management, LLC | |||||||||||
By: | /s/ Jeffrey E. Eberwein | ||||||||||
Name: | Jeffrey E. Eberwein | ||||||||||
Title: | Manager |
Star Value, LLC | |||||||||||
By: | Star Equity Holdings, Inc. | ||||||||||
By: | /s/ Richard K. Coleman, Jr. | ||||||||||
Name: | Richard K. Coleman, Jr. | ||||||||||
Title: | Chief Executive Officer |
/s/ Jeffrey E. Eberwein | |||||
Jeffrey E. Eberwein |
Individually and as attorney-in-fact for Robert G. Pearse | |||||
/s/ Hannah Bible | |||||
Hannah Bible |
Shares of Common Stock Purchased/(Sold) | Price Per Share ($)1 | Date of Purchase / Sale |
59,494 | $0.25 (1) | 11/15/2023 | ||||||
6,960 | $0.23 (1) | 11/16/2023 | ||||||
9,000 | $0.25 | 11/17/2023 | ||||||
173,180 | $0.26 (1) | 11/20/2023 | ||||||
33,774 | $0.28 (1) | 11/21/2023 | ||||||