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FIRSTHAND TECHNOLOGY VALUE FD COM
FIRSTHAND TECHNOLOGY VALUE FD COM. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 31 Institutional holders with a total value of $12,400,016.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 7 0 0.00%
2 VALLEY NATIONAL ADVISERS INC 20 0 0.00%
3 MORGAN STANLEY 17 0 0.00%
4 ADVISOR GROUP, INC. 20 0 0.00%
5 IFP ADVISORS, INC 34 0 0.00%
6 Plante Moran Financial Advisors, LLC 20 0 0.00%
7 SUTTON WEALTH ADVISORS INC. 2 16 0.00%
8 REILLY FINANCIAL ADVISORS, LLC 86 1,000 0.01%
9 Tower Research Capital LLC (TRC) 68 1,000 0.01%
10 ASSET PLANNING SERVICES, LTD. 165 1,000 0.01%
11 WHITTIER TRUST CO 403 3,000 0.02%
12 Creative Planning 510 4,000 0.03%
13 SIMPLEX TRADING, LLC 858 6,000 0.05%
14 CUTLER GROUP LLC / CA 836 6,000 0.05%
15 UBS Group AG 1,947 16,000 0.13%
16 ACADIAN ASSET MANAGEMENT LLC 2,190 17,000 0.14%
17 ACROSPIRE INVESTMENT MANAGEMENT LLC 6,529 52,000 0.42%
18 Raymond James Financial Services Advisors, Inc. 11,000 88,000 0.71%
19 FT OPTIONS LLC 22,238 177,000 1.43%
20 Yakira Capital Management, Inc. 24,839 198,000 1.60% SH
21 PRECEPT MANAGEMENT LLC 25,000 199,000 1.60%
22 M Holdings Securities, Inc. 26,000 207,000 1.67%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 36,058 288,000 2.32%
24 ROYAL BANK OF CANADA 39,465 314,000 2.53%
25 Radcliffe Capital Management, L.P. 45,844 365,000 2.94%
26 Ancora Advisors LLC 46,660 371,000 2.99%
27 EQUITEC PROPRIETARY MARKETS, LLC 66,400 529,000 4.27%
28 CITY OF LONDON INVESTMENT MANAGEMENT CO LTD 85,341 680,000 5.48%
29 GENEOS WEALTH MANAGEMENT INC. 93,132 741,000 5.98%
30 Bulldog Investors, LLP 256,186 2,039,000 16.44%
31 WELLS FARGO & COMPANY/MN 765,944 6,097,000 49.17%

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.