false 0001487428 0001487428 2025-02-21 2025-02-21 0001487428 hrzn:CommonStockParValue0001PerShareCustomMember 2025-02-21 2025-02-21 0001487428 hrzn:NotesDue20264875CustomMember 2025-02-21 2025-02-21 0001487428 hrzn:NotesDue2027625CustomMember 2025-02-21 2025-02-21
 
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 incorporation)
  
(Commission File Number)
  
(IRS Employer Identification No.)
 
312 Farmington Avenue
Farmington, CT 06032
 
(Address of principal executive offices and zip code)
 
Registrant’s telephone number, including area code: (860) 676-8654
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
 
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
 
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
 
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
  
Ticker Symbol(s)
  
Name of each exchange on which registered
Common Stock, par value $0.001 per share
  
HRZN
  
The Nasdaq Stock Market LLC
4.875% Notes due 2026
  
HTFB
  
The New York Stock Exchange
6.25% Notes due 2027
  
HTFC
  
The New York Stock Exchange
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
 
Emerging growth company ☐
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
 
 
 
 
Section 5
 Corporate Governance and Management
Item 5.07
 Submission of Matters to a Vote of Security Holders
 
Special Meeting Results
 
On February 21, 2025, Horizon Technology Finance Corporation (the “Company”) held a special meeting of stockholders (the “Special Meeting”). At the Special Meeting, the Company’s stockholders approved one proposal. The proposal is described in detail in the Company’s definitive proxy statement (the “Proxy Statement”) for the Special Meeting as filed with the Securities and Exchange Commission on December 30, 2024. As of December 26, 2024, the record date for the Special Meeting, there were 39,875,847 shares of the Company’s common stock outstanding and entitled to vote. A quorum consisting of 20,428,691 shares of the Company’s common stock were present or represented by proxy at the Special Meeting.
 
Proposal: The Company’s stockholders approved a new investment management agreement between the Company and Horizon Technology Finance Management LLC (the “Adviser”), the Company’s investment advisor. The voting results are set forth below:
 
For
Against
Abstain
18,014,786
1,287,559
1,126,346
   
The new investment management agreement will become effective as of the date of the closing of the Adviser change in control transaction as described in detail in the Company’s Proxy Statement. As a result, the new investment management agreement will not effect the existing investment management agreement between the Company and the Adviser unless and until the consummation of the Adviser change in control transaction.
 
2
 
 
 
SIGNATURE
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
Date: February 21, 2025
HORIZON TECHNOLOGY FINANCE CORPORATION
  
     
     
 
By:
/s/ Robert D. Pomeroy, Jr.
  
   
Robert D. Pomeroy, Jr.
  
   
Chief Executive Officer
  
 
3
 
v3.25.0.1
Document And Entity Information
Feb. 21, 2025
Document Information [Line Items]  
Entity, Registrant Name HORIZON TECHNOLOGY FINANCE CORPORATION
Document, Type 8-K
Document, Period End Date Feb. 21, 2025
Entity, Incorporation, State or Country Code DE
Entity, File Number 814-00802
Entity, Tax Identification Number 27-2114934
Entity, Address, Address Line One 312 Farmington Avenue
Entity, Address, City or Town Farmington
Entity, Address, State or Province CT
Entity, Address, Postal Zip Code 06032
City Area Code 860
Local Phone Number 676-8654
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity, Emerging Growth Company false
Amendment Flag false
Entity, Central Index Key 0001487428
CommonStockParValue0001PerShare Custom [Member]  
Document Information [Line Items]  
Title of 12(b) Security Common Stock, par value $0.001 per share
Trading Symbol HRZN
Security Exchange Name NASDAQ
NotesDue20264875 Custom [Member]  
Document Information [Line Items]  
Title of 12(b) Security 4.875% Notes due 2026
Trading Symbol HTFB
Security Exchange Name NYSE
NotesDue2027625 Custom [Member]  
Document Information [Line Items]  
Title of 12(b) Security 6.25% Notes due 2027
Trading Symbol HTFC
Security Exchange Name NYSE
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