Horizon Technology Finance Corporation filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders

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(Exact name of registrant as specified in its charter)

 

 

(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:

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

 

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. ☐

 

 

 

 

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:

 

   

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.

 

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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.

 

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