Основная статистика
| CIK | 1487428 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Horizon Technology Finance Corporation
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| September 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 4, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of Registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| September 5, 2025 |
Exhibit 10.1 Execution Version HORIZON TECHNOLOGY FINANCE CORPORATION 312 Farmington Avenue Farmington, CT 06032 5.50% Convertible Notes due 2030 September 4, 2025 TO EACH OF THE PURCHASERS LISTED IN THE PURCHASER SCHEDULE HERETO: Ladies and Gentlemen: HORIZON TECHNOLOGY FINANCE CORPORATION, a Delaware corporation (the “Company”), agrees with each of the Purchasers as follows: SECTION 1. Authoriza |
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| September 4, 2025 |
Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-278396 PROSPECTUS SUPPLEMENT (to Prospectus dated June 20, 2024) Horizon Technology Finance Corporation $40,000,000 5.50% Convertible Notes due 2030 and Shares of Common Stock Issuable upon Conversion of the 2030 Notes We are a specialty finance company that lends to and invests in development-stage companies in the technology |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 7, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of Registrant as Specified in Its Charter) DELAWARE 814-00802 27-2114934 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 7, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of Registrant as Specified in Its Charter) Delaware 814-00802 27-2114934 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 7, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of Registrant as Specified in Its Charter) delaware 814-00802 27-2114934 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 8, 2025 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among HORIZON TECHNOLOGY FINANCE CORPORATION, HMMS, INC., MONROE CAPITAL CORPORATION, MONROE CAPITAL BDC ADVISORS, LLC and HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC Dated as of August 7, 2025 TABLE OF CONTENTS Page ARTICLE I THE MERGERS 2 1.1 The Merger 2 1.2 Closing 2 1.3 Effective Time 3 1.4 Effects of the Merger 3 1.5 Conversion of Capital Stock 3 1.6 Th |
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| August 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 7, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of Registrant as Specified in Its Charter) DELAWARE 814-00802 27-2114934 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No. |
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| August 8, 2025 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER among HORIZON TECHNOLOGY FINANCE CORPORATION, HMMS, INC., MONROE CAPITAL CORPORATION, MONROE CAPITAL BDC ADVISORS, LLC and HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC Dated as of August 7, 2025 TABLE OF CONTENTS Page ARTICLE I THE MERGERS 2 1.1 The Merger 2 1.2 Closing 2 1.3 Effective Time 3 1.4 Effects of the Merger 3 1.5 Conversion of Capital Stock 3 1.6 Th |
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| August 8, 2025 |
Filed by Horizon Technology Finance Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Monroe Capital Corporation Commission File No. |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 81 |
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| August 7, 2025 |
Joint Investor Presentation, dated August 7, 2025 Exhibit 99.2 |
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| August 7, 2025 |
Exhibit 99.1 Monroe Capital Corporation and Horizon Technology Finance Corporation Enter into Definitive Merger Agreement Monroe Capital Corporation Additionally Signs Definitive Asset Purchase Agreement to Sell its Investment Assets to Monroe Capital Income Plus Corporation Immediately Preceding Merger Transaction to Drive Scale and Shareholder Value Across Monroe Capital BDC Platforms Chicago, I |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| August 7, 2025 |
Exhibit 99.1 Horizon Technology Finance Announces Second Quarter 2025 Financial Results - Second Quarter 2025 Net Investment Income per Share of $0.28; NAV per Share of $6.75 - - Debt Portfolio Yield of 15.8% - - HRZN Ends Quarter with Committed Backlog of $149 Million - - Declares Regular Monthly Distributions Totaling $0.33 per Share through December 2025 - - Announced Merger with Monroe Capital |
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| August 7, 2025 |
Exhibit 99.1 Horizon Technology Finance Announces Monthly Distributions for October, November and December 2025 Totaling $0.33 per Share Farmington, Connecticut – August 7, 2025 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon”) (the “Company”), an affiliate of Monroe Capital, and a leading specialty finance company that provides capital in the form of secured loans to venture cap |
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| August 7, 2025 |
Filed by Horizon Technology Finance Corporation pursuant to Rule 425 under the Securities Act of 1933 and deemed filed under Rule 14a-12 of the Securities Exchange Act of 1934 Subject Company: Monroe Capital Corporation Commission File No. |
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| August 7, 2025 |
Joint Investor Presentation, dated August 7, 2025 Exhibit 99.2 |
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| August 7, 2025 |
Exhibit 14 TABLE OF CONTENTS JOINT CODE OF ETHICS 2 A. Statement of General Fiduciary Principles 2 B. Definitions 3 C. Objective and General Prohibitions 5 D. Prohibited Transactions 6 E. Reports By Access Persons 7 F. Conflicts of Interest and Additional Prohibitions 9 G. Pay-to-Play Restrictions 15 H. Lobbying Activities 18 I. Prohibition Against Insider Trading 19 J. Annual Certification 29 K. |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| August 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 7, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| August 7, 2025 |
Exhibit 99.1 Monroe Capital Corporation and Horizon Technology Finance Corporation Enter into Definitive Merger Agreement Monroe Capital Corporation Additionally Signs Definitive Asset Purchase Agreement to Sell its Investment Assets to Monroe Capital Income Plus Corporation Immediately Preceding Merger Transaction to Drive Scale and Shareholder Value Across Monroe Capital BDC Platforms Chicago, I |
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| July 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 9, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| July 9, 2025 |
Exhibit 99.1 Horizon Technology Finance Provides Second Quarter 2025 Portfolio Update - HRZN Originates $59.7 Million of New Loans in Q2 - - HRZN Ends Quarter with Committed Backlog of $149.0 Million - Farmington, Connecticut – July 9, 2025 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“HRZN” or “Horizon”), an affiliate of Monroe Capital, and a leading specialty finance company that pro |
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| June 9, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| June 9, 2025 |
Horizon Technology Finance Appoints Paul Seitz as Chief Investment Officer EX-99.1 2 ex828613.htm EXHIBIT 99.1 Exhibit 99.1 Horizon Technology Finance Appoints Paul Seitz as Chief Investment Officer Farmington, Connecticut – June 9, 2025 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon” or “HRZN”) (the “Company”), an affiliate of Monroe Capital, and a leading specialty finance company that provides capital in the form of secured loans to venture capital |
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| June 5, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 27, 2025 |
Exhibit 10.3 AMENDED AND RESTATED NOTE FUNDING AGREEMENT Between HORIZON FUNDING II, LLC, as Issuer, and TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA, PACIFIC LIFE INSURANCE COMPANY and THE LINCOLN NATIONAL LIFE INSURANCE COMPANY as the Initial Purchasers dated as of May 23, 2025 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 SECTION 1.1 Certain Defined Terms. 1 SECTION 1.2 Other Definiti |
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| May 27, 2025 |
Exhibit 10.2 FIRST SUPPLEMENTAL INDENTURE by and between HORIZON FUNDING II, LLC, as the Issuer, and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee Dated as of May, 2025 HORIZON FUNDING II, LLC Asset Backed Notes THIS FIRST SUPPLEMENTAL INDENTURE, dated as of May 23, 2025 (as amended, modified, restated, supplemented and/or waived from time to time, this “First Supplemental Indentur |
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| May 27, 2025 |
Exhibit 10.5 AMENDMENT NO. 1 TO SALE AND SERVICING AGREEMENT This Amendment No. 1 to Sale and Servicing Agreement, dated as of May 23, 2025 (this “Amendment”) is by and among Horizon Funding II, LLC, a Delaware limited liability company, as issuer (the “Issuer”), Horizon Technology Finance Corporation, a Delaware corporation, as the seller (the “Seller”), as the originator (the “Originator”), and |
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| May 27, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive |
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| May 15, 2025 |
Horizon Technology Finance Names Michael P. Balkin as Chief Executive Officer - Founders Robert D. Pomeroy, Jr. and Gerald A. Michaud to Retire; Mr. Pomeroy to Remain Chairman of the Board of Directors - Farmington, Connecticut – May 15, 2025 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon” or “HRZN”) (the “Company”), an affiliate of Monroe Capital, and a leading specialty financ |
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| April 29, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| April 29, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 29, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| April 29, 2025 |
Horizon Technology Finance Announces Monthly Distributions for July, August and September 2025 Totaling $0. |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| April 29, 2025 |
Horizon Technology Finance Announces First Quarter 2025 Financial Results - First Quarter 2025 Net Investment Income per Share of $0. |
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| April 28, 2025 |
EXHIBIT 10.2 EXECUTION VERSION AMENDMENT NO. 6 TO SALE AND SERVICING AGREEMENT This Amendment No. 6 to Sale and Servicing Agreement, dated as of April 25, 2025 (this “Amendment”) is by and among Horizon Funding I, LLC, a Delaware limited liability company, as issuer (the “Issuer”), Horizon Secured Loan Fund I LLC, a Delaware limited liability company, as the seller (the “Seller”) and as the origin |
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| April 28, 2025 |
EXHIBIT 10.4 EXECUTION VERSION FIFTH SUPPLEMENTAL INDENTURE by and between HORIZON FUNDING I, LLC, as the Issuer, and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee Dated as of April 25, 2025 HORIZON FUNDING I, LLC Asset Backed Notes THIS FIFTH SUPPLEMENTAL INDENTURE, dated as of April 25, 2025 (as amended, modified, restated, supplemented and/or waived from time to time, this “Fift |
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| April 28, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| April 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy State |
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| April 9, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| April 9, 2025 |
Horizon Technology Finance Provides First Quarter 2025 Portfolio Update - HRZN Originates $100. |
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| March 31, 2025 |
Monroe Capital Completes Strategic Partnership with Wendel Group Exhibit 99.1 For more information, please contact: Zia Uddin Monroe Capital LLC 312-523-2374 [email protected] Prosek Partners [email protected] Monroe Capital Completes Strategic Partnership with Wendel Group ● Strategic partnership will support future growth initiatives and expand Monroe’s U.S. private credit platform ● Wendel commits $1 billion for seed capital and GP commitments for cur |
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| March 31, 2025 |
Exhibit 10.1 INVESTMENT MANAGEMENT AGREEMENT This Investment Management Agreement (“Agreement”) is made effective as of March 31, 2025 by and between HORIZON TECHNOLOGY FINANCE CORPORATION a Delaware Corporation (the “Company”), and HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC, a Delaware limited liability company (the “Advisor”). WHEREAS, the Company is a closed-end management investment fund that e |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 31, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| March 4, 2025 |
Trademark License Agreement by and between the Company and Horizon Technology Finance Management LLC EXHIBIT 10.4 TRADEMARK LICENSE AGREEMENT This TRADEMARK LICENSE AGREEMENT (this “Agreement”) is made and effective as of June 30, 2023 (the “Effective Date”) by and between Horizon Technology Finance Management LLC, a Limited Liability Company organized under the laws of Delaware (the “Licensor”), and Horizon Technology Finance Corporation, a Corporation organized under the laws of Delaware (the “ |
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| March 4, 2025 |
Exhibit 19 HORIZON TECHNOLOGY FINANCE CORPORATION (the “Company”) STATEMENT OF POLICY ON INSIDER TRADING Introduction It is illegal for any person, either personally or on behalf of others, to trade in securities on the basis of material, non-public information. |
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| March 4, 2025 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 4, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| March 4, 2025 |
EXHIBIT 4.7 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2024, Horizon Technology Finance Corporation had the following three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, $0.001 par value per share (“common sto |
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| March 4, 2025 |
EXHIBIT 21 LIST OF SUBSIDIARIES OF HORIZON TECHNOLOGY FINANCE CORPORATION AS OF 12/31/2024 Horizon Credit II LLC – Delaware Limited Liability Company Horizon Secured Loan Fund I LLC – Delaware Limited Liability Company Horizon Funding I, LLC – Delaware Limited Liability Company HESP LLC – Delaware Limited Liability Company Horizon Funding 2022-1 LLC – Delaware Limited Liability Company Horizon Fun |
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| March 4, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 4, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| March 4, 2025 |
Horizon Technology Finance Announces Fourth Quarter and Full Year 2024 Financial Results - Fourth Quarter 2024 Net Investment Income per Share of $0. |
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| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00 |
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| March 4, 2025 |
Horizon Technology Finance Announces Monthly Distributions for April, May and June 2025 Totaling $0. |
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| February 21, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| January 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2025 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporati |
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| January 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| January 8, 2025 |
Exhibit 99.1 Horizon Technology Finance Provides Fourth Quarter 2024 Portfolio Update - HRZN Originates $59.1 Million of New Loans in Q4 - - HRZN Ends Year with Committed Backlog of $206.5 Million - Farmington, Connecticut – January 8, 2025 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“HRZN” or “Horizon”), an affiliate of Monroe Capital, and a leading specialty finance company that pro |
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| December 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| December 30, 2024 |
One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| December 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| December 16, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| October 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBE |
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| October 29, 2024 |
Horizon Technology Finance Announces Third Quarter 2024 Financial Results - Third Quarter 2024 Net Investment Income per Share of $0. |
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| October 29, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 29, 2024 |
Horizon Technology Finance Announces Monthly Distributions for January, February and March 2025 Totaling $0. |
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| October 29, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 29, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 22, 2024 |
Monroe Capital to Enter into Strategic Partnership with Wendel Group Monroe Capital to Enter into Strategic Partnership with Wendel Group ● Strategic partnership to support future growth initiatives and expand Monroe’s US private credit platform ● Wendel to commit $1 billion in seed capital and GP commitments for current and future Monroe investment strategies ● Monroe to continue to operate independently with no changes to investment process, strategy or operations ● Monroe and Wendel intend for AXA IM Prime to participate in the transaction Chicago, IL, October 22, 2024 – Monroe Capital LLC (“Monroe”) today announced that it has entered into a definitive partnership agreement with Wendel Group (Euronext: MF:FP) (“Wendel”) relating to Wendel’s strategic investment in Monroe. |
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| October 22, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 22, 2024 |
Monroe Capital to Enter into Strategic Partnership with Wendel Group Monroe Capital to Enter into Strategic Partnership with Wendel Group ● Strategic partnership to support future growth initiatives and expand Monroe’s US private credit platform ● Wendel to commit $1 billion in seed capital and GP commitments for current and future Monroe investment strategies ● Monroe to continue to operate independently with no changes to investment process, strategy or operations ● Monroe and Wendel intend for AXA IM Prime to participate in the transaction Chicago, IL, October 22, 2024 – Monroe Capital LLC (“Monroe”) today announced that it has entered into a definitive partnership agreement with Wendel Group (Euronext: MF:FP) (“Wendel”) relating to Wendel’s strategic investment in Monroe. |
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| October 22, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpor |
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| October 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 18, 2024 |
Note Purchase Agreement, dated as of October 17, 2024, by and among the Company and the Purchasers Exhibit 10.1 HORIZON TECHNOLOGY FINANCE CORPORATION 312 Farmington Avenue Farmington, CT 06032 7.125% Convertible Notes due 2031 October 17, 2024 TO EACH OF THE PURCHASERS LISTED IN THE PURCHASER SCHEDULE HERETO: Ladies and Gentlemen: HORIZON TECHNOLOGY FINANCE CORPORATION, a Delaware corporation (the “Company”), agrees with each of the Purchasers as follows: SECTION 1. Authorization of Convertibl |
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| October 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 9, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporati |
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| October 9, 2024 |
Horizon Technology Finance Provides Third Quarter 2024 Portfolio Update - HRZN Originates $93. |
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| July 30, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| July 30, 2024 |
Horizon Technology Finance Announces Second Quarter 2024 Financial Results - Second Quarter 2024 Net Investment Income per Share of $0. |
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| July 30, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 30, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| July 30, 2024 |
Horizon Technology Finance Announces Monthly Distributions for October, November and December 2024 Totaling $0. |
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| July 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 81 |
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| July 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 10, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| July 10, 2024 |
Horizon Technology Finance Provides Second Quarter 2024 Portfolio Update - HRZN Originates $11. |
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| June 24, 2024 |
Exhibit 10.2 NOTE FUNDING AGREEMENT Between HORIZON FUNDING II, LLC, as Issuer, and TEACHERS INSURANCE AND ANNUITY ASSOCIATION OF AMERICA, PACIFIC LIFE INSURANCE COMPANY and THE LINCOLN NATIONAL LIFE INSURANCE COMPANY as the Initial Purchasers dated as of June 21, 2024 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 SECTION 1.1 Certain Defined Terms. 1 SECTION 1.2 Other Definitional Provisions. 2 A |
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| June 24, 2024 |
Exhibit 10.1 INDENTURE by and among HORIZON FUNDING II, LLC, as the Issuer, U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee, and U.S. BANK NATIONAL ASSOCIATION, as the Securities Intermediary Dated as of June 21, 2024 HORIZON FUNDING II, LLC Asset Backed Notes TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.01 Definitions 2 Section 1.02 Rules of Construction 10 ARTICLE II TH |
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| June 24, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 24, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| June 24, 2024 |
EXHIBIT 99.1 Horizon Technology Finance Enhances Capital Resources and Increases Capacity via New $100 Million Credit Facility FARMINGTON, Connecticut - June 24, 2024 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon” or the “Company”), an affiliate of Monroe Capital, and a leading specialty finance company that provides capital in the form of secured loans to venture capital-backe |
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| June 24, 2024 |
Exhibit 10.3 SALE AND SERVICING AGREEMENT by and among HORIZON FUNDING II, LLC, as the Issuer, HORIZON TECHNOLOGY FINANCE CORPORATION, as the Originator and as the Seller, HORIZON TECHNOLOGY FINANCE CORPORATION, as the Servicer, U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee, and U.S. BANK NATIONAL ASSOCIATION, as the Backup Servicer, Lockbox Bank, Custodian and Securities Intermedi |
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| June 21, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| June 21, 2024 |
EXHIBIT 10.3 AMENDMENT NO. 2 TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT THIS AMENDMENT NO. 2 TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Amendment”) dated as of June 20, 2024, is entered into by and among HORIZON CREDIT II LLC (the “Borrower”), MUFG BANK, LTD., as a Lender, MITSUBISHI HC CAPITAL AMERICA, INC., as a Lender, and KEYBANK NATIONAL ASSOCIATION as a |
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| June 21, 2024 |
Horizon Technology Finance Corporation Up to $150,000,000 Common Stock Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-278396 PROSPECTUS SUPPLEMENT (to Prospectus dated June 21, 2024) Horizon Technology Finance Corporation Up to $150,000,000 Common Stock We have entered into an at market issuance sales agreement, dated September 22, 2023, or the Equity Distribution Agreement, with Goldman Sachs & Co. LLC, or Goldman Sachs, and B. Riley Securit |
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| June 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| June 21, 2024 |
EXHIBIT 10.6 AMENDMENT NO. 2 TO SECOND AMENDED AND RESTATED SALE AND SERVICING AGREEMENT THIS AMENDMENT NO. 2 TO AMENDED AND RESTATED SALE AND SERVICING AGREEMENT (this “Amendment”) dated as of June 20, 2024, is entered into by and among HORIZON CREDIT II LLC (the “Buyer”), HORIZON TECHNOLOGY FINANCE CORPORATION, as the Originator and the Servicer, HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC, as the |
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| June 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| June 6, 2024 |
One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567Fax www. |
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| May 10, 2024 |
Exhibit 10.2 Execution Version AMENDMENT NO. 5 TO SALE AND SERVICING AGREEMENT This Amendment No. 5 to Sale and Servicing Agreement, dated as of May 6, 2024 (this “Amendment”) is by and among Horizon Funding I, LLC, a Delaware limited liability company, as issuer (the “Issuer”), Horizon Secured Loan Fund I LLC, a Delaware limited liability company, as the seller (the “Seller”) and as the originato |
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| May 10, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 10, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 10, 2024 |
Exhibit 10.3 Execution Version FOURTH AMENDED AND RESTATED NOTE FUNDING AGREEMENT Between HORIZON FUNDING I, LLC, as Issuer, and NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION, NEW YORK LIFE INSURANCE COMPANY, NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT (BOLI 30C) AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LI |
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| May 10, 2024 |
Exhibit 10.5 Execution Version FOURTH SUPPLEMENTAL INDENTURE by and between HORIZON FUNDING I, LLC, as the Issuer, and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee Dated as of May 7, 2024 HORIZON FUNDING I, LLC Asset Backed Notes THIS FOURTH SUPPLEMENTAL INDENTURE, dated as of May 7, 2024 (as amended, modified, restated, supplemented and/or waived from time to time, this “Fourth S |
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| April 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| April 30, 2024 |
Horizon Technology Finance Announces First Quarter 2024 Financial Results - First Quarter 2024 Net Investment Income per Share of $0. |
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| April 30, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| April 30, 2024 |
Horizon Technology Finance Announces Monthly Distributions for July, August and September 2024 Totaling $0. |
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| April 30, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 30, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| April 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy State |
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| April 10, 2024 |
Horizon Technology Finance Provides First Quarter 2024 Portfolio Update - HRZN Originates $33. |
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| April 10, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 10, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| April 2, 2024 |
HORIZON TECHNOLOGY FINANCE CORPORATION 312 Farmington Avenue Farmington, Connecticut 06032 April 2, 2024 VIA EDGAR Securities and Exchange Commission 100 F Street, N. |
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| February 27, 2024 |
EXHIBIT 99.1 Horizon Technology Finance Announces Fourth Quarter and Full Year 2023 Financial Results - Fourth Quarter 2023 Net Investment Income per Share of $0.45; NAV per Share of $9.71 - - Annual Debt Portfolio Yield of 16.6% - - HRZN Ends Year with Committed Backlog of $218 Million - - Declares Regular Monthly Distributions Totaling $0.33 per Share through June 2024 and $0.05 Special Distribu |
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| February 27, 2024 |
EXHIBIT 99.1 Horizon Technology Finance Announces Monthly Distributions for April, May and June 2024 Totaling $0.33 per Share and Special Distribution for April 2024 of $0.05 per Share Farmington, Connecticut – February 27, 2024 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon”) (the “Company”), an affiliate of Monroe Capital, and a leading specialty finance company that provides |
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| February 27, 2024 |
EXHIBIT 21 LIST OF SUBSIDIARIES OF HORIZON TECHNOLOGY FINANCE CORPORATION AS OF 12/31/2023 Compass Horizon Funding Company LLC — Delaware Limited Liability Company Horizon Credit II LLC — Delaware Limited Liability Company Horizon Funding 2019-1 LLC — Delaware Limited Liability Company Horizon Funding Trust 2019-1 – Delaware Trust Horizon Secured Loan Fund I LLC – Delaware Limited Liability Compan |
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| February 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| February 27, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| February 27, 2024 |
Clawback Policy of the Company Exhibit 97.1 HORIZON TECHNOLOGY FINANCE CORPORATION CLAWBACK POLICY (SECURITIES EXCHANGE ACT OF 1934) Introduction: The Securities and Exchange Commission (the “SEC”) adopted Section 10D of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and Rule 10D-1 promulgated thereunder (“Rule 10D-1”) and, at the direction of the SEC, the Nasdaq Stock Market (“Nasdaq”) adopted Listing Ru |
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| February 27, 2024 |
EXHIBIT 4.7 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2023, Horizon Technology Finance Corporation had the following three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, $0.001 par value per share (“common sto |
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| February 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00 |
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| February 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 26, 2024 -12-31 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of in |
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| February 26, 2024 |
EXHIBIT 3.1 SECOND AMENDED AND RESTATED BYLAWS OF HORIZON TECHNOLOGY FINANCE CORPORATION (A DELAWARE CORPORATION) These Second Amended and Restated Bylaws (these “Bylaws”) amend and restate the Amended and Restated Bylaws of Horizon Technology Finance Corporation (hereinafter the “Corporation”), adopted as of November 3, 2010, are made and adopted as of February 23, 2024, pursuant to the Certifica |
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| January 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 12, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| January 10, 2024 |
Horizon Technology Finance Provides Fourth Quarter 2023 Portfolio Update Horizon Technology Finance Provides Fourth Quarter 2023 Portfolio Update - HRZN Originates $63. |
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| January 10, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 10, 2024 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 31, 2023 |
Horizon Technology Finance Announces Third Quarter 2023 Financial Results - Third Quarter 2023 Net Investment Income per Share of $0. |
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| October 31, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 31, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 31, 2023 |
Horizon Technology Finance Announces Monthly Distributions for January, February and March 2024 Totaling $0. |
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| October 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBE |
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| October 11, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 11, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 11, 2023 |
Horizon Technology Finance Provides Third Quarter 2023 Portfolio Update Horizon Technology Finance Provides Third Quarter 2023 Portfolio Update - Horizon Platform Originates $88. |
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| September 22, 2023 |
Exhibit 1.1 HORIZON TECHNOLOGY FINANCE CORPORATION Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement September 22, 2023 Goldman Sachs & Co. LLC 200 West Street New York, New York 10282 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, New York 10171 Ladies and Gentlemen: Each of Horizon Technology Finance Corporation, a Delaware corporation (the “Company”), |
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| September 22, 2023 |
Horizon Technology Finance Corporation Up to $150,000,000 Common Stock Table of Contents Filed Pursuant to Rule 424(b)(2) Registration No. 333-255716 PROSPECTUS SUPPLEMENT (to Prospectus dated July 21, 2021) Horizon Technology Finance Corporation Up to $150,000,000 Common Stock We have entered into an at market issuance sales agreement, dated September 22, 2023, or the Equity Distribution Agreement, with Goldman Sachs & Co. LLC, or Goldman Sachs, and B. Riley Securit |
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| September 22, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpor |
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| August 9, 2023 |
One International Place 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main+1 617 426 6567 Fax www. |
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| August 1, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| August 1, 2023 |
Horizon Technology Finance Announces Second Quarter 2023 Financial Results - Second Quarter 2023 Net Investment Income per Share of $0. |
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| August 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 81 |
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| August 1, 2023 |
Horizon Technology Finance Announces Monthly Distributions for October, November and December 2023 Totaling $0. |
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| August 1, 2023 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| July 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| July 12, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 12, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| July 12, 2023 |
Horizon Technology Finance Provides Second Quarter 2023 Portfolio Update Horizon Technology Finance Provides Second Quarter 2023 Portfolio Update - Horizon Platform Originates $52. |
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| July 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 5, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| July 5, 2023 |
For more information, please contact: Theodore L. Koenig Monroe Capital LLC 312-523-2360 [email protected] Daniel Abramson BackBay Communications 857-305-8441 [email protected] Monroe Capital Completes Acquisition of Horizon Technology Finance Management and Expands into Venture Debt Chicago, IL, July 5, 2023 – Monroe Capital LLC (“Monroe”) today announced it has comple |
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| July 5, 2023 |
INVESTMENT MANAGEMENT AGREEMENT This Investment Management Agreement (“Agreement”) is made effective as of June 30, 2023 by and between HORIZON TECHNOLOGY FINANCE CORPORATION a Delaware Corporation (the “Company”), and HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC, a Delaware limited liability company (the “Advisor”). |
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| June 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 29, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| June 30, 2023 |
Exhibit 10.4 AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED SALE AND SERVICING AGREEMENT THIS AMENDMENT NO. 1 TO AMENDED AND RESTATED SALE AND SERVICING AGREEMENT (this “Amendment”) dated as of June 29, 2023, is entered into by and among HORIZON CREDIT II LLC (the “Buyer”), HORIZON TECHNOLOGY FINANCE CORPORATION, as the Originator and the Servicer, HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC, as the |
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| June 30, 2023 |
Exhibit 10.2 AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT THIS AMENDMENT NO. 1 TO SECOND AMENDED AND RESTATED LOAN AND SECURITY AGREEMENT (this “Amendment”) dated as of June 29, 2023, is entered into by and among HORIZON CREDIT II LLC (the “Borrower”), MUFG BANK, LTD., as a Lender, MITSUBISHI HC CAPITAL AMERICA, INC., as a Lender, and KEYBANK NATIONAL ASSOCIATION as a |
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| June 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 28, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| June 5, 2023 |
Exhibit 1.1 Execution Version 3,250,000 Shares HORIZON TECHNOLOGY FINANCE CORPORATION COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT May 30, 2023 May 30, 2023 Morgan Stanley & Co. LLC As Representative of the several Underwriters c/o Morgan Stanley & Co. LLC 1585 Broadway New York, NY 10036 Ladies and Gentlemen: Horizon Technology Finance Corporation, a Delaware corporation (the “ |
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| June 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 2, 2023 Horizon Technology Finance Corporation (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction (Commission (IRS |
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| June 1, 2023 |
3,250,000 Shares Horizon Technology Finance Corporation Common Stock Table of Contents Filed pursuant to Rule 424(b)(2) File No. 333-255716 PROSPECTUS SUPPLEMENT (to Prospectus dated July 21, 2021) 3,250,000 Shares Horizon Technology Finance Corporation Common Stock We are offering for sale 3,250,000 shares of our common stock. We have granted the underwriters a 30-day option to purchase up to 487,500 additional shares of our common stock at the public offering pri |
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| May 30, 2023 |
SUBJECT TO COMPLETION, DATED MAY 30, 2023 Table of Contents This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. |
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| May 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 30, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 25, 2023 |
Horizon Technology Finance Strengthens Capital Resources and Increases Capacity of Credit Facility to $250 Million Farmington, Connecticut – May 24, 2023 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon” or the “Company”), a leading specialty finance company that provides capital in the form of secured loans to venture capital backed companies in the technology, life science, healthcare information and services, and sustainability industries, today announced that Horizon Secured Loan Fund I LLC, Horizon’s wholly-owned subsidiary (“HSLF”), has amended its senior secured debt facility with a large U. |
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| May 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 25, 2023 |
Exhibit 10.2 AMENDMENT NO. 4 TO SALE AND SERVICING AGREEMENT This Amendment No. 4 to Sale and Servicing Agreement, dated as of May 24, 2023 (this “Amendment”) is by and among Horizon Funding I, LLC, a Delaware limited liability company, as issuer (the “Issuer”), Horizon Secured Loan Fund I LLC, a Delaware limited liability company, as the seller (the “Seller”) and as the originator (the “Originato |
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| May 25, 2023 |
Exhibit 10.3 THIRD AMENDED AND RESTATED NOTE FUNDING AGREEMENT Between HORIZON FUNDING I, LLC, as Issuer, and NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION, NEW YORK LIFE INSURANCE COMPANY, NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT (BOLI 30C) AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LIFE INSURANCE SEPARA |
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| May 25, 2023 |
Exhibit 10.5 THIRD SUPPLEMENTAL INDENTURE by and between HORIZON FUNDING I, LLC, as the Issuer, and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee Dated as of May 24, 2023 HORIZON FUNDING I, LLC Asset Backed Notes THIS THIRD SUPPLEMENTAL INDENTURE, dated as of May 24, 2023 (as amended, modified, restated, supplemented and/or waived from time to time, this “Third Supplemental Indentu |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| May 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive |
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| May 9, 2023 |
One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| May 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive |
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| May 2, 2023 |
Horizon Technology Finance Announces First Quarter 2023 Financial Results - First Quarter 2023 Net Investment Income per Share of $0. |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 2, 2023 |
Horizon Technology Finance Announces Monthly Distributions for July, August and September 2023 Totaling $0. |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 8 |
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| May 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| April 12, 2023 |
Horizon Technology Finance Provides First Quarter 2023 Portfolio Update - Horizon Platform Originates $47 Million of New Loans in Q1, Including $40 Million of New Loans for HRZN - - Horizon Platform Ends Quarter with Committed Backlog of $218 Million, Including $187 Million in HRZN Commitments - Farmington, Connecticut – April 12, 2023 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“HRZN |
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| April 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 12, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| April 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| April 6, 2023 |
One International Place, 40th Floor 100 Oliver Street Boston, MA 02110-2605 +1 617 728 7100 Main +1 617 426 6567 Fax www. |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy State |
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| March 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| March 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| March 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| February 28, 2023 |
Horizon Technology Finance Announces Fourth Quarter and Full Year 2022 Financial Results - Fourth Quarter 2022 Net Investment Income per Share of $0. |
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| February 28, 2023 |
EXHIBIT 21 LIST OF SUBSIDIARIES OF HORIZON TECHNOLOGY FINANCE CORPORATION AS OF 12/31/2022 Compass Horizon Funding Company LLC — Delaware Limited Liability Company Horizon Credit II LLC — Delaware Limited Liability Company Horizon Funding 2019-1 LLC — Delaware Limited Liability Company Horizon Funding Trust 2019-1 – Delaware Trust Horizon Secured Loan Fund I LLC – Delaware Limited Liability Compan |
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| February 28, 2023 |
Horizon Technology Finance Announces Monthly Distributions for April, May and June 2023 Totaling $0. |
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| February 28, 2023 |
Exhibit 14.1 HORIZON TECHNOLOGY FINANCE CORPORATION HORIZON TECHNOLOGY FINANCE MANAGEMENT LLC CODE OF ETHICS AND PERSONAL TRADING POLICY (INVESTMENT ADVISERS ACT OF 1940) (INVESTMENT COMPANY ACT OF 1940) Introduction and Policy Statement: This Code of Ethics and Personal Trading Policy (the “Code”) has been adopted by each of Horizon Technology Finance Corporation (“HRZN”) and Horizon Technology F |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00 |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| February 28, 2023 |
EXHIBIT 4.9 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of December 31, 2022, Horizon Technology Finance Corporation had the following three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (i) its common stock, $0.001 par value per share (“common sto |
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| February 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| February 23, 2023 |
For more information, please contact: Theodore L. Koenig Monroe Capital LLC 312-523-2360 [email protected] Daniel Abramson BackBay Communications 857-305-8441 [email protected] Monroe Capital Announces Agreement to Acquire Horizon Technology Finance Management, Market Leader in Venture Lending Chicago, IL, February 23, 2023 – Monroe Capital LLC (“Monroe”), a premier bou |
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| February 23, 2023 |
Horizon Technology Finance Corporation Announces Monroe Capital’s Agreement to Acquire Horizon Technology Finance Management Farmington, Connecticut – February 23, 2023 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon” or the “Company”), a leading specialty finance company that provides capital in the form of secured loans to venture capital backed companies in the technology, lif |
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| January 11, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 11, 2023 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| January 11, 2023 |
Horizon Technology Finance Provides Fourth Quarter 2022 Portfolio Update Horizon Technology Finance Provides Fourth Quarter 2022 Portfolio Update - Horizon Platform Originates $114 Million of New Loans in Q4, Including $104 Million of New Loans for HRZN - - HRZN Grows Loan Portfolio by $262 Million in 2022 - - Horizon Platform Ends 2022 with Committed Backlog of $255 Million, Including $220 Million in HRZN Commitments - Farmington, Connecticut – January 11, 2023 – Hori |
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| November 14, 2022 |
EXHIBIT 10.1 $100,000,000 HORIZON FUNDING TRUST 2022-1 7.56% Asset Backed Notes NOTE PURCHASE AGREEMENT October 26, 2022 KeyBanc Capital Markets Inc. 1301 Avenue of the Americas, 35th Floor New York, New York 10019 Ladies and Gentlemen: Section 1. Introductory. Horizon Funding Trust 2022-1, a Delaware statutory trust (the "Issuer"), proposes, subject to the terms and conditions stated herein, to i |
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| November 14, 2022 |
EXHIBIT 10.4 SALE AND SERVICING AGREEMENT by and among HORIZON FUNDING TRUST 2022-1, as the Issuer, HORIZON FUNDING 2022-1 LLC, as the Trust Depositor, HORIZON TECHNOLOGY FINANCE CORPORATION as the Seller and as the Servicer, U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee and U.S. BANK NATIONAL ASSOCIATION, as the Backup Servicer, Custodian and Securities Intermediary Dated as of No |
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| November 14, 2022 |
EXHIBIT 10.6 AMENDED AND RESTATED TRUST AGREEMENT by and between HORIZON FUNDING 2022-1 LLC, as the Trust Depositor and WILMINGTON TRUST, NATIONAL ASSOCIATION, as the Owner Trustee Dated as of November 9, 2022 Horizon Funding Trust 2022-1 Asset-Backed Notes TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 Section 1.02 Other Terms. 4 Section 1.03 Computation of Time Period |
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| November 14, 2022 |
EXHIBIT 10.2 INDENTURE by and among HORIZON FUNDING TRUST 2022-1, as the Issuer, U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as the Trustee, and U.S. BANK NATIONAL ASSOCIATION, as the Securities Intermediary Dated as of November 9, 2022 Horizon Funding Trust 2022-1 Notes TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 2 Section 1.01 Definitions. 2 Section 1.02 Rules of Construction. 9 ARTICLE II T |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| November 14, 2022 |
EXHIBIT 99.1 Horizon Technology Finance Announces Completion of $158 Million Securitization Issued $100 Million of Notes with a Fixed Interest Rate of 7.56% Rated A by a rating agency Farmington, Connecticut ? November 14, 2022 ? Horizon Technology Finance Corporation (NASDAQ: HRZN) (?Horizon? or the ?Company?), a leading specialty finance company that provides capital in the form of secured loans |
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| November 14, 2022 |
EXHIBIT 10.5 ADMINISTRATION AGREEMENT among HORIZON FUNDING TRUST 2022-1, as Issuer, HORIZON TECHNOLOGY FINANCE CORPORATION, as Administrator WILMINGTON TRUST, NATIONAL ASSOCIATION, as Owner Trustee and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of November 9, 2022 TABLE OF CONTENTS Page 1. Duties of the Administrator 1 2. Records 3 3. Compensation; Payment of Fees and Expe |
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| November 14, 2022 |
EXHIBIT 10.3 SALE AND CONTRIBUTION AGREEMENT by and between HORIZON TECHNOLOGY FINANCE CORPORATION, as the Seller and HORIZON FUNDING 2022-1 LLC, as the Trust Depositor Dated as of November 9, 2022 Horizon Funding Trust 2022-1 Asset-Backed Notes TABLE OF CONTENTS Page ARTICLE I DEFINITIONS 1 Section 1.01 Definitions. 1 Section 1.02 Other Terms. 4 Section 1.03 Computation of Time Periods. 4 Section |
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| November 1, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces Third Quarter 2022 Financial Results - Net Investment Income per Share of $0.43; NAV per Share of $11.66 - - Grew Portfolio Year over Year by 40% to Record $635 Million - - Horizon Platform Ends Quarter with Record Committed Backlog of $309 Million, Including Record $252 Million in HRZN Commitments - - Debt Portfolio Yield of 15.9% - - Increases Re |
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| November 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBE |
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| November 1, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| November 1, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| November 1, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces 10% Increase in Monthly Distributions for January, February and March 2023 to a Total of $0.33 per Share and Special Distribution for December 2022 of $0.05 per Share Farmington, Connecticut ? November 1, 2022 ? Horizon Technology Finance Corporation (NASDAQ: HRZN) (?Horizon?) (the ?Company?), a leading specialty finance company that provides capit |
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| October 26, 2022 |
Horizon Technology Finance Announces Pricing of Loan Securitization Exhibit 99.1 Horizon Technology Finance Announces Pricing of Loan Securitization Farmington, Connecticut ? October 26, 2022 ? Horizon Technology Finance Corporation (NASDAQ: HRZN) (?Horizon? or the ?Company?), a leading specialty finance company that provides capital in the form of secured loans to venture capital backed companies in the technology, life science, healthcare information and service |
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| October 26, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporat |
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| October 12, 2022 |
Horizon Technology Finance Provides Third Quarter 2022 Portfolio Update Exhibit 99.1 Horizon Technology Finance Provides Third Quarter 2022 Portfolio Update - Horizon Platform Originates $106 Million of New Loans in Q3, Including $89 Million of New Loans for HRZN - - Horizon Platform Ends Quarter with Record Committed Backlog of $309 Million, Including $252 Million in HRZN Commitments - Farmington, Connecticut ? October 12, 2022 ? Horizon Technology Finance Corporatio |
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| August 2, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| August 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 81 |
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| August 2, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces Monthly Distributions for October, November and December 2022 Totaling $0.30 per Share Farmington, Connecticut – August 2, 2022 – Horizon Technology Finance Corporation (NASDAQ: HRZN) (“Horizon”) (the “Company”), a leading specialty finance company that provides capital in the form of secured loans to venture capital backed companies in the technol |
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| August 2, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 2, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| August 2, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces Second Quarter 2022 Financial Results - Net Investment Income per Share of $0.35; NAV per Share of $11.69 - - Grew Portfolio Year over Year by 43% to Record $577 Million - - Horizon Platform Ends Quarter with Record Committed Backlog of $267 Million, Including Record $221 Million in HRZN Commitments - - Debt Portfolio Yield of 14.2% - - Declares Re |
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| July 13, 2022 |
Exhibit 99.1 Horizon Technology Finance Provides Second Quarter 2022 Portfolio Update - Horizon Platform Originates Record $192 Million of New Loans in Q2, Including $137 Million of New Loans for HRZN - - Horizon Platform Ends Quarter with Record Committed Backlog of $267 Million, Including $221 Million in HRZN Commitments - Farmington, Connecticut ? July 13, 2022 ? Horizon Technology Finance Corp |
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| July 13, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| June 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact Name of Registrant as Specified in Its Charter) Delaware 27-2114934 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer I |
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| June 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 15, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| June 15, 2022 |
Exhibit 4.2 FOURTH SUPPLEMENTAL INDENTURE between HORIZON TECHNOLOGY FINANCE CORPORATION and U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION, as Trustee Dated as of June 15, 2022 FOURTH SUPPLEMENTAL INDENTURE THIS FOURTH SUPPLEMENTAL INDENTURE (this ?Fourth Supplemental Indenture?), dated as of June 15, 2022, is between Horizon Technology Finance Corporation, a Delaware corporation (the ?Company?), |
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| June 13, 2022 |
Exhibit 1.1 $50,000,000 HORIZON TECHNOLOGY FINANCE CORPORATION 6.25% Notes due 2027 UNDERWRITING AGREEMENT June 8, 2022 June 8, 2022 Keefe, Bruyette & Woods, Inc. As Representative of the several Underwriters c/o Keefe, Bruyette & Woods, Inc. 787 Seventh Avenue, Fourth Floor New York, NY 10019 Ladies and Gentlemen: Horizon Technology Finance Corporation, a Delaware corporation (the ?Company?), pro |
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| June 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 13, 2022 (June 8, 2022) HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction o |
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| June 9, 2022 |
$50,000,000 Horizon Technology Finance Corporation 6.25% Notes due 2027 Filed pursuant to Rule 424(b)(2) Registration No. 333-255716 PROSPECTUS SUPPLEMENT (to Prospectus dated July 21, 2021) $50,000,000 Horizon Technology Finance Corporation 6.25% Notes due 2027 We are a non-diversified closed-end management investment company that has elected to be regulated as a business development company (?BDC?) under the Investment Company Act of 1940 (the ?1940 Act?). We are ex |
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| June 8, 2022 |
Horizon Technology Finance Corporation 6.25% Notes Due 2027 Pricing Term Sheet June 8, 2022 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated June 8, 2022 Relating to Preliminary Prospectus Supplement dated June 8, 2022 and Prospectus dated July 21, 2021 Registration No. |
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| June 8, 2022 |
Subject to Completion Dated June 8, 2022 Filed pursuant to Rule 424(b)(2) Registration No. 333-255716 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell and are not s |
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| June 3, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 3, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces First Quarter 2022 Financial Results - Grew Portfolio Year over Year by 36% to Record $515 Million ? - Horizon Platform Ends Quarter with Record Committed Backlog of $172 Million, Including Record $151 Million in HRZN Commitments - - First Quarter 2022 Net Investment Income per Share of $0.26; NAV per Share of $11.68 - - Debt Portfolio Yield of 12. |
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| May 3, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 3, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 3, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation) |
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| May 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 3, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces Monthly Distributions for July, August and September 2022 Totaling $0.30 per Share Farmington, Connecticut ? May 3, 2022 ? Horizon Technology Finance Corporation (NASDAQ: HRZN) (?Horizon?) (the ?Company?), a leading specialty finance company that provides capital in the form of secured loans to venture capital backed companies in the technology, li |
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| April 22, 2022 |
our Definitive Proxy Statement on Schedule 14A filed with the SEC on April 22, 2022; SCHEDULE 14A (RULE 14a-101) Information Required in Proxy Statement Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only x Definitive Proxy Statement (as permitted by Rule 14a-6(e)(2)) ? Definitive Additional Material ? Soliciting Material Pursuant to Rule 14a-12 Horizon Technology Finance Corporation (Name of Registrant as Specified in Its Charter) (Name of Person(s) Filing Proxy Statement if other than the Registrant) Payment of Filing Fee (Check the appropriate box): x No fee required. |
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| April 13, 2022 |
Exhibit 99.1 Horizon Technology Finance Provides First Quarter 2022 Portfolio Update - Horizon Platform Originates $132 Million of New Loans in Q1, Including $73 Million of New Loans for HRZN - - Horizon Platform Ends Quarter with Record Committed Backlog of $172 Million, Including $151 Million in HRZN Commitments - Farmington, Connecticut ? April 13, 2022 ? Horizon Technology Finance Corporation |
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| April 13, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 13, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporatio |
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| March 14, 2022 |
Exhibit 1.1 EXECUTION VERSION 2,500,000 Shares HORIZON TECHNOLOGY FINANCE CORPORATION COMMON STOCK, PAR VALUE $0.001 PER SHARE UNDERWRITING AGREEMENT March 9, 2022 March 9, 2022 Morgan Stanley & Co. LLC As Representative of the several Underwriters c/o Morgan Stanley & Co. LLC 1585 Broadway New York, NY 10036 Ladies and Gentlemen: Horizon Technology Finance Corporation, a Delaware corporation (the |
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| March 14, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 14, 2022 Horizon Technology Finance Corporation (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction (Commission (IR |
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| March 11, 2022 |
2,500,000 Shares Horizon Technology Finance Corporation Common Stock Filed pursuant to Rule 424(b)(2) File No. 333-255716 2,500,000 Shares Horizon Technology Finance Corporation Common Stock We are offering for sale 2,500,000 shares of our common stock. We have granted the underwriters a 30-day option to purchase up to 375,000 additional shares of our common stock at the public offering price, less underwriting discounts and commissions. We are a non-diversified, c |
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| March 9, 2022 |
SUBJECT TO COMPLETION, DATED MARCH 9, 2022 This preliminary prospectus supplement relates to an effective registration statement under the Securities Act of 1933, as amended, but the information in this preliminary prospectus supplement is not complete and may be changed. |
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| March 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 1, 2022 |
EXHIBIT 21 LIST OF SUBSIDIARIES OF HORIZON TECHNOLOGY FINANCE CORPORATION AS OF 12/31/2021 Compass Horizon Funding Company LLC ? Delaware Limited Liability Company Horizon Credit II LLC ? Delaware Limited Liability Company Horizon Funding 2019-1 LLC ? Delaware Limited Liability Company Horizon Funding Trust 2019-1 ? Delaware Trust Horizon Secured Loan Fund I LLC ? Delaware Limited Liability Compan |
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| March 1, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces Monthly Distributions for April, May and June 2022 Totaling $0.30 per Share Farmington, Connecticut ? March 1, 2022 ? Horizon Technology Finance Corporation (NASDAQ: HRZN) (?Horizon?) (the ?Company?), a leading specialty finance company that provides capital in the form of secured loans to venture capital backed companies in the technology, life sc |
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| March 1, 2022 |
Exhibit 99.1 Horizon Technology Finance Announces Fourth Quarter and Full Year 2021 Financial Results - Fourth Quarter 2021 Net Investment Income per Share of $0.39; NAV per Share of $11.56 - - Annual Debt Portfolio Yield of 15.7% in 2021 - - Declares Regular Monthly Distributions Totaling $0.30 per Share - - Horizon Platform Ends 2021 with Committed Backlog of $155 Million, Including $127 Million |
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| March 1, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 tm228059d18k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 1, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or oth |
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| March 1, 2022 |
EXHIBIT 4.7 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 ? As of December 31, 2021, Horizon Technology Finance Corporation had the following two classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): (i) its common stock, $0.001 par value per share (?common sto |
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| March 1, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 1, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorporation |
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| February 28, 2022 |
Exhibit 10.3 SECOND AMENDED AND RESTATED NOTE FUNDING AGREEMENT Between HORIZON FUNDING I, LLC, as Issuer, and NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION, NEW YORK LIFE INSURANCE COMPANY, NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LIFE INSURANCE SEPARATE ACCOUNT (BOLI 30C) AND NEW YORK LIFE INSURANCE AND ANNUITY CORPORATION INSTITUTIONALLY OWNED LIFE INSURANCE SEPAR |
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| February 28, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2022 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) Delaware 814-00802 27-2114934 (State or other jurisdiction of incorpora |
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| February 28, 2022 |
Exhibit 10.2 AMENDMENT NO. 3 TO SALE AND SERVICING AGREEMENT This Amendment No. 3 to Sale and Servicing Agreement, dated as of February 25, 2022 (this ?Amendment?) is by and among Horizon Funding I, LLC, a Delaware limited liability company, as issuer (the ?Issuer?), Horizon Secured Loan Fund I LLC, a Delaware limited liability company, as the seller (the ?Seller?) and as the originator (the ?Orig |
