false 0001487428 0001487428 2024-06-07 2024-06-07 0001487428 hrzn:CommonStockParValue0001PerShareCustomMember 2024-06-07 2024-06-07 0001487428 hrzn:NotesDue20264875CustomMember 2024-06-07 2024-06-07 0001487428 hrzn:NotesDue2027625CustomMember 2024-06-07 2024-06-07
 
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)
  
(Commission File Number)
  
(I.R.S. 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 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
 
Annual Meeting Results
 
On June 6, 2024, Horizon Technology Finance Corporation (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). At the Annual Meeting, the Company’s stockholders approved two proposals. The proposals are described in detail in the Company’s definitive proxy statement for the Annual Meeting as filed with the Securities and Exchange Commission on April 23, 2024. As of April 19, 2024, the record date for the Annual Meeting, 35,020,774 shares of the Company’s common stock were eligible to vote.
 
Proposal 1: The Company’s stockholders elected three Class II directors of the Company, each of whom will serve until the 2027 annual meeting of stockholders, or until his or her successor is duly elected and qualified or until his or her earlier resignation, removal from office, death or incapacity. The following votes were taken in connection with this proposal:
 
Name For Withheld Broker Non-Votes
Michael P. Balkin 6,772,524 1,623,880 ---
Edmund V. Mahoney 6,791,178 1,605,226 ---
Elaine A. Sarsynski 6,940,417 1,455,987 ---
 
Proposal 2: The Company's stockholders ratified the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024. The following votes were taken in connection with this proposal:
 
For Against Withheld Broker Non-Votes
21,355,828 324,712 327,077 ---

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: June 7, 2024
HORIZON TECHNOLOGY FINANCE CORPORATION
  
     
     
 
By:
/s/ Robert D. Pomeroy, Jr.
  
   
Robert D. Pomeroy, Jr.
  
   
Chief Executive Officer
  
 
3
 
v3.24.1.1.u2
Document And Entity Information
Jun. 07, 2024
Document Information [Line Items]  
Entity, Registrant Name HORIZON TECHNOLOGY FINANCE CORPORATION
Document, Type 8-K
Document, Period End Date Jun. 07, 2024
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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