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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 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))
 
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. ☐
 
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
 
 
 
 
Section 8
  
Other Events
Item 8.01
 
Other Events
 
On August 1, 2023, Horizon Technology Finance Corporation (the “Company”) announced that its Board of Directors has declared monthly distributions totaling $0.33 per share payable in such amounts and on such dates to stockholders of record, as set forth below.
 
Monthly Distributions
 
Ex-Dividend Date
Record Date
Payment Date
  
Amount Per Share
  
September 18, 2023
 September 19, 2023 October 16, 2023   $ 0.11  
October 17, 2023 October 18, 2023 November 15, 2023   $ 0.11  
November 16, 2023 November 17, 2023 December 15, 2023   $ 0.11  
   
Total:
   $ 0.33  
 
A copy of the press release announcing such dividend is attached hereto as Exhibit 99.1 and is incorporated by reference herein.
 
Section 9
  
Financial Statements and Exhibits
Item 9.01
 
Financial Statements and Exhibits
 
(d) Exhibits.
     
99.1
  
Press Release of the Company dated August 1, 2023.
104
  
Cover Page Interactive Data File (embedded within the Inline XBRL document)
 
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: August 1, 2023
HORIZON TECHNOLOGY FINANCE
CORPORATION
     
 
By:
/s/ Robert D. Pomeroy, Jr.
   
Robert D. Pomeroy, Jr.
   
Chief Executive Officer
 
3
 
 
 
Exhibit Index
 
Exhibit No.
  
Description
     
99.1
  
Press Release of the Company dated August 1, 2023.
 
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