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EX-99.2 - EXHIBIT 99.2 - GSV Capital Corp.tv488371_ex99-2.htm
EX-99.1 - EXHIBIT 99.1 - GSV Capital Corp.tv488371_ex99-1.htm






Washington, D.C. 20549




Current Report Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported):


March 13, 2018



(Exact name of registrant as specified in its charter)


Maryland 1-35156 27-4443543
(State or other jurisdiction of incorporation) (Commission File Number) (I.R.S. Employer Identification No.)


2925 Woodside Road

Woodside, CA 94062

(Address of principal executive offices and zip code)


Registrant’s telephone number, including area code: (650) 235-4769



Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


¨Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).


Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨






Item 2.02. Results of Operations and Financial Condition.


On March 13, 2018, GSV Capital Corp. (the “Company”) issued a press release announcing its financial results for the fiscal year and quarter ended December 31, 2017. A copy of the press release is included as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated into this Item 2.02 by reference.


The information disclosed under this Item 2.02, including the information set forth in Exhibit 99.1 hereto, is being “furnished” and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise. The information in this Item 2.02 shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, as amended, or into any filing or other document pursuant to the Exchange Act, except as otherwise expressly stated in any such filing.


Item 8.01. Other Events.


On March 13, 2018, in connection with the Company’s conference call to announce its financial results for the quarter and fiscal year ended December 31, 2017, the Company provided a presentation to stockholders, analysts and any other parties participating on the call. A copy of the slides that the Company used during the presentation has been included as Exhibit 99.2 to this Current Report on Form 8-K and has been posted on the Company’s website.


Item 9.01. Financial Statements and Exhibits.


  (d) Exhibits.


  Exhibit No. Description


  99.1 Press release dated March 13, 2018*

Earnings Presentation dated March 13, 2018 


* The press release attached hereto as Exhibit 99.1 is “furnished” and not “filed,” as described in Item 2.02 of this Current Report on Form 8-K.






Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date:  March 13, 2018 GSV CAPITAL CORP.  
  By:  /s/ William F. Tanona  
    William F. Tanona
President, Chief Financial Officer, Treasurer and Corporate Secretary