Dark
Light
System
Security
FIRSTHAND TECHNOLOGY VALUE FD COM
FIRSTHAND TECHNOLOGY VALUE FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 30 Institutional holders with a total value of $11,478,015.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 NEXT Financial Group, Inc 18 0 0.00%
2 Plante Moran Financial Advisors, LLC 20 0 0.00%
3 CUTLER GROUP LLC / CA 800 0 0.00% Call
4 ACADIAN ASSET MANAGEMENT LLC 42 0 0.00%
5 VALLEY NATIONAL ADVISERS INC 20 0 0.00%
6 IFP ADVISORS, INC 34 0 0.00%
7 CUTLER GROUP LLC / CA 36 0 0.00%
8 SUTTON WEALTH ADVISORS INC. 2 15 0.00%
9 REILLY FINANCIAL ADVISORS, LLC 86 1,000 0.01%
10 ASSET PLANNING SERVICES, LTD. 165 1,000 0.01%
11 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 7 1,000 0.01%
12 Tower Research Capital LLC (TRC) 231 2,000 0.02%
13 WHITTIER TRUST CO 403 3,000 0.03%
14 Creative Planning 510 4,000 0.03%
15 UBS Group AG 539 4,000 0.03%
16 ACROSPIRE INVESTMENT MANAGEMENT LLC 9,424 72,000 0.63%
17 Raymond James Financial Services Advisors, Inc. 11,000 84,000 0.73%
18 Yakira Capital Management, Inc. 21,139 162,000 1.41% SH
19 FT OPTIONS LLC 22,238 171,000 1.49%
20 PRECEPT MANAGEMENT LLC 25,000 192,000 1.67%
21 M Holdings Securities, Inc. 26,000 199,000 1.73%
22 MORGAN STANLEY 26,423 203,000 1.77%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 36,237 277,000 2.41%
24 ROYAL BANK OF CANADA 37,565 288,000 2.51%
25 Radcliffe Capital Management, L.P. 45,844 352,000 3.07%
26 Ancora Advisors LLC 51,660 396,000 3.45%
27 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 85,341 655,000 5.71%
28 EQUITEC PROPRIETARY MARKETS, LLC 97,625 749,000 6.53%
29 Bulldog Investors, LLP 278,489 2,136,000 18.61%
30 WELLS FARGO & COMPANY/MN 720,457 5,526,000 48.14%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.