0001638599-20-000297.txt : 20200316 0001638599-20-000297.hdr.sgml : 20200316 20200316113350 ACCESSION NUMBER: 0001638599-20-000297 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200313 FILED AS OF DATE: 20200316 DATE AS OF CHANGE: 20200316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pomeroy Robert D. Jr. CENTRAL INDEX KEY: 0001503748 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00802 FILM NUMBER: 20715926 MAIL ADDRESS: STREET 1: 312 FARMINGTON AVENUE CITY: FARMINGTON STATE: CT ZIP: 06032 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Horizon Technology Finance Corp CENTRAL INDEX KEY: 0001487428 IRS NUMBER: 272114934 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 312 FARMINGTON AVENUE CITY: FARMINGTON STATE: CT ZIP: 06032 BUSINESS PHONE: 860-676-8654 MAIL ADDRESS: STREET 1: 312 FARMINGTON AVENUE CITY: FARMINGTON STATE: CT ZIP: 06032 4 1 doc4_6592.xml PRIMARY DOCUMENT X0306 4 2020-03-13 0 0001487428 Horizon Technology Finance Corp HRZN 0001503748 Pomeroy Robert D. Jr. 312 FARMINGTON AVENUE FARMINGTON CT 06032 1 1 0 0 Chief Executive Officer Common Stock 2020-03-13 4 P 0 4000 10.75 A 102498 D Common Stock 2020-03-13 4 P 0 800 10.33 A 4336.6 I As custodian for grandchildren The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.28 to $10.44, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer. /s/Robert D. Pomeroy, Jr. 2020-03-16