Standard Contracts
CUSTODIAN SERVICES AGREEMENTCustodian Services Agreement • September 24th, 2010 • Firsthand Technology Value Fund, Inc.
THIS AGREEMENT is made as of ____________ by and between PFPC TRUST COMPANY, a limited purpose trust company incorporated under the laws of Delaware (“PFPC Trust”) and FIRSTHAND TECHNOLOGY VALUE FUND, INC., a Maryland corporation (the “Fund”). Capitalized terms not otherwise defined shall have the meanings set forth in Appendix A.
AGREEMENT AND PLAN OF REORGANIZATIONAgreement and Plan of Reorganization • July 19th, 2010 • Firsthand Technology Value Fund, Inc. • Maryland
This AGREEMENT AND PLAN OF REORGANIZATION (“Agreement”) is made as of this ____ day of _____, 2010 by and between Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Acquiring Fund”) and Firsthand Technology Value Fund (the “Acquired Fund”), a series of Firsthand Funds, a Delaware statutory trust (the “Trust”).
Transfer Agency and Service Agreement Between Firsthand Technology Value Fund Inc and Computershare Trust Company, N.A. and Computershare Inc.Transfer Agency and Service Agreement • March 24th, 2022 • Firsthand Technology Value Fund, Inc. • New York
THIS TRANSFER AGENCY AND SERVICE AGREEMENT, effective as of [DATE] (“Effective Date”), is by and between [COMPANY NAME], a [STATE] corporation, having its principal office and place of business at [COMPANY ADDRESS] (“Company”), and Computershare Inc., a Delaware corporation (“Computershare”), and its fully owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Agent”), each having a principal office and place of business at 150 Royall Street, Canton, Massachusetts 02021.
DEPOSITARY AGREEMENT Between Firsthand Technology Value Fund, Inc. and Computershare Trust Company N.A. and Computershare Inc.Depositary Agreement • December 22nd, 2014 • Firsthand Technology Value Fund, Inc. • New York
THIS DEPOSITARY AGREEMENT, dated as of October 24, 2014 (the “Effective Date”), is by and between Firsthand Technology Value Fund, Inc., a Maryland corporation (“Purchaser”), having its principal office and place of business at 150 Almaden Blvd., Suite 1250, San Jose, CA 95113, and Computershare Inc., a Delaware corporation (“Computershare”), and its wholly owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Agent”), each having a principal office and place of business at 250 Royall Street, Canton, Massachusetts 02021.
Shares FIRSTHAND TECHNOLOGY VALUE FUND, INC. (a Maryland corporation) Common Stock, $0.001 par value per Share PURCHASE AGREEMENTPurchase Agreement • October 4th, 2013 • Firsthand Technology Value Fund, Inc. • New York
Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Company”), confirms its agreement with [Underwriter] (“Lead Underwriter”) and each of the other Underwriters named in Schedule I hereto (collectively, the “Underwriters,” which term shall also include any underwriter substituted as hereinafter provided in Section 10 hereof), for whom the Lead Underwriter is acting as representative (in such capacity, the “Representative”), with respect to the issue and sale by the Company and the purchase by the Underwriters, acting severally and not jointly, of · shares of common stock, $0.001 par value per share (the “Firm Shares”). The Company also proposes to sell to the several Underwriters not more than an additional ● shares of common stock, $0.01 par value per share (the “Additional Shares”) if and to the extent that the Representative shall have determined to exercise, on behalf of the Underwriters, the right to purchase such shares granted to the Underwriters in Section 2 her
FIRSTHAND TECHNOLOGY VALUE FUND, INC. Investment Management AgreementInvestment Management Agreement • September 24th, 2010 • Firsthand Technology Value Fund, Inc. • Maryland
THIS INVESTMENT MANAGEMENT AGREEMENT (this “Agreement”) is made as of the _______th day of ____________, 2010, by and between Firsthand Technology Value Fund, Inc., a Maryland corporation (hereinafter called the “Company”), and SiVest Group, Inc., a California corporation (hereinafter called the “Manager”).
VOTING AGREEMENTVoting Agreement • November 15th, 2013 • Firsthand Technology Value Fund, Inc. • New York
This Voting Agreement (this “Agreement”), dated as of October 4, 2013, is among the individual or entity listed on the signature page hereto (the “Voting Stockholder”) and Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Company”).
FORM OF CONTRIBUTION AND EXCHANGE AGREEMENTContribution and Exchange Agreement • May 11th, 2015 • Firsthand Technology Value Fund, Inc. • Maryland
This CONTRIBUTION AND EXCHANGE AGREEMENT (this “Agreement”) dated as of [__], 2015, is entered into by and between Firsthand Technology Value Fund, Inc., a Maryland corporation (the “SVVC”), and Firsthand Venture Investors, a California general partnership (the “FVI”).
ADMINISTRATION AND ACCOUNTING SERVICES AGREEMENTAdministration and Accounting Services Agreement • September 24th, 2010 • Firsthand Technology Value Fund, Inc.
THIS AGREEMENT is effective as of ____________ or such other date as mutually agreed upon by the parties hereto by and between BNY MELLON INVESTMENT SERVICING (US) INC., a Massachusetts corporation (the “Administrator”) and FIRSTHAND TECHNOLOGY VALUE FUND, INC., a Maryland corporation (the “Fund”). Capitalized terms not otherwise defined shall have the meanings set forth in Appendix A.
October 4, 2013Exchange Agreement • November 15th, 2013 • Firsthand Technology Value Fund, Inc.
DUTCH TENDER DEPOSITARY AGREEMENT Between Firsthand Technology Value Fund, Inc., Kevin Landis And Computershare Trust Company N.A. And Computershare Inc.Dutch Tender Depositary Agreement • December 17th, 2019 • Firsthand Technology Value Fund, Inc. • New York
THIS DUTCH TENDER DEPOSITARY AGREEMENT, dated as of December 16, 2019 (the “Effective Date”), is by and between Firsthand Technology Value Fund, Inc., a Maryland corporation , Kevin Landis, as individual ( referred to together for the convenience of this Agreement as the “Purchaser”), each having its principal office and place of business at 150 Almaden Blvd., Suite 1250, San Jose, California 95113, and Computershare Inc., a Delaware corporation (“Computershare”), and its wholly owned subsidiary Computershare Trust Company, N.A., a federally chartered trust company (“Trust Company”, and together with Computershare, “Agent”), each having a principal office and place of business at 150 Royall Street, Canton, Massachusetts 02021.
Firsthand Capital Management, INC.Waiver Agreement • May 14th, 2024 • Firsthand Technology Value Fund, Inc.
This letter agreement (this “Agreement”), effective as of March 31, 2024, by and between Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Company”), and Firsthand Capital Management, Inc., a California corporation and the investment adviser to the Company (“FCM”), is intended to memorialize the waiver of certain fees FCM is otherwise entitled to receive pursuant to that certain Master Investment Advisory Agreement dated April 15, 2011, by and between the Company and FCM, as amended from time to time (the “IMA”).
Firsthand Capital Management, INC. 150 Almaden Boulevard, Suite 1250 San Jose, California 95113 September 30, 2023Waiver Agreement • November 14th, 2023 • Firsthand Technology Value Fund, Inc.
This letter agreement (this “Agreement”), effective as of September 30, 2023, by and between Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Company”), and Firsthand Capital Management, Inc., a California corporation and the investment adviser to the Company (“FCM”), is intended to memorialize the waiver of certain fees FCM is otherwise entitled to receive pursuant to that certain Master Investment Advisory Agreement dated April 15, 2011, by and between the Company and FCM, as amended from time to time (the “IMA”).
TRANSFER AGENCY SERVICES AGREEMENTTransfer Agency Services Agreement • September 24th, 2010 • Firsthand Technology Value Fund, Inc.
THIS AGREEMENT is effective as of ____________ or such other date as mutually agreed upon by the parties hereto ("Effective Date") by and between BNY MELLON INVESTMENT SERVICING (US) INC. (“BNYM”), and FIRSTHAND TECHNOLOGY VALUE FUND, INC. (the “Investment Company”). Capitalized terms, and certain noncapitalized terms, not otherwise defined shall have the meanings set forth in Appendix A.
AMENDMENTAdministration and Accounting Services Agreement • March 18th, 2019 • Firsthand Technology Value Fund, Inc.
This Amendment is an amendment to the Administration and Accounting Services Agreement between Firsthand Technology Value Fund, Inc. (the “Fund”) and The Bank of New York Mellon (“BNY Mellon”) dated September 17, 2010 (the “Agreement”).
STANDSTILL AGREEMENTStandstill Agreement • May 6th, 2014 • Firsthand Technology Value Fund, Inc. • Maryland
This Standstill Agreement, dated May 1, 2014 (“Agreement”), is entered into by and between Bulldog Investors, LLC, a Delaware limited liability company (“Bulldog”), on behalf of itself and the Affiliated Advisers (as defined below), and Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Company”).
FORM OF AMENDED AND RESTATED AGREEMENT OF GENERAL PARTNERSHIP OF FIRSTHAND VENTURE INVESTORSGeneral Partnership Agreement • May 11th, 2015 • Firsthand Technology Value Fund, Inc. • California
THIS AMENDED AND RESTATED AGREEMENT OF GENERAL PARTNERSHIP (this “Agreement”) is executed ___, 2015, and made effective as of ___, 2015, by and among the parties set forth on the signature page hereto (each individually a “Partner” and collectively the “Partners”).
October 21, 2014Information Agent Agreement • December 22nd, 2014 • Firsthand Technology Value Fund, Inc. • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson Inc. (“Georgeson”) by Firsthand Technology Value Fund, Inc. (the “Company”) to act as Information Agent in connection with the Company’s repurchase offer (the “Offer”). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
October 4, 2013 Firsthand Technology Value Fund, Inc.Exchange Agreement • November 15th, 2013 • Firsthand Technology Value Fund, Inc.
SETTLEMENT AGREEMENT AND MUTUAL RELEASESettlement Agreement • May 6th, 2014 • Firsthand Technology Value Fund, Inc. • Maryland
THIS SETTLEMENT AGREEMENT AND MUTUAL RELEASE (this “Agreement”) is executed as of May 1, 2014, by and between Bulldog Investors, LLC, a Delaware limited liability company (“Bulldog”), on behalf of itself and the Affiliated Advisers (as defined below), and Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Company”). The Company and Bulldog are jointly referred to as the “Parties.”
REGISTRATION RIGHTS AGREEMENTRegistration Rights Agreement • November 15th, 2013 • Firsthand Technology Value Fund, Inc. • New York
This Registration Rights Agreement (this “Agreement”), is made and entered into as of October 4, 2013, by and among Firsthand Technology Value Fund, Inc., a Maryland corporation (the “Company”), and the persons identified on Schedule A hereto (collectively, the “Purchasers” and each individually, a “Purchaser”).
EXCHANGE AGREEMENT BY AND AMONG FIRSTHAND TECHNOLOGY VALUE FUND, INC., HOLDERS OF THE DEBENTURES OF INTRAOP MEDICAL CORPORATION AND HOLDERS OF THE INVENTORY AND FACTORING CREDIT FACILITIES OF INTRAOP MEDICAL CORPORATIONExchange Agreement • November 15th, 2013 • Firsthand Technology Value Fund, Inc. • New York
This EXCHANGE AGREEMENT, dated as of October 4, 2013 (this “Agreement”) is entered into by and among Firsthand Technology Value Fund, Inc., a Maryland corporation (“SVVC”), each of the Noteholder Purchasers listed in Schedule 1.01 attached hereto (each referred to herein as a “Noteholder Purchaser”) and each of the Factoring Lender Purchasers listed in Schedule 1.01 attached hereto (each referred to herein as a “Factoring Lender Purchaser”) and collectively, the “Purchasers”).
December 9, 2019Information Agent Agreement • December 17th, 2019 • Firsthand Technology Value Fund, Inc. • New York
This Letter of Agreement, including the Appendix attached hereto (collectively, this “Agreement”), sets forth the terms and conditions of the engagement of Georgeson LLC (“Georgeson”) by Firsthand Technology Value Fund, Inc. (the “Company”) to act as Information Agent in connection with the Company’s Dutch Auction self-tender offer (the “Offer”). The term of this Agreement shall be the term of the Offer, including any extensions thereof.
