Horizon Technology Finance Corp. Schedules 2024 Annual Meeting of Stockholders

TL;DR

<b>Horizon Technology Finance Corp. will hold its 2024 Annual Meeting of Stockholders on June 6, 2024, to elect directors and ratify auditors.</b>

AI Summary

Horizon Technology Finance Corp (HTFC) filed a Proxy Statement (DEF 14A) with the SEC on April 23, 2024. The 2024 Annual Meeting of Stockholders for Horizon Technology Finance Corporation will be held on June 6, 2024, at 9:30 AM Eastern Time. The meeting will take place at the company's offices located at 312 Farmington Avenue, Farmington, Connecticut 06032. Key agenda items include the election of three Class II directors and the ratification of RSM US LLP as the independent registered public accounting firm for fiscal year 2024. Stockholders are strongly encouraged to vote by proxy via the Internet to save time and processing costs. The proxy statement provides details on the business to be conducted at the meeting.

Why It Matters

For investors and stakeholders tracking Horizon Technology Finance Corp, this filing contains several important signals. This filing is a definitive proxy statement (DEF 14A), indicating the company is formally soliciting shareholder votes for its upcoming annual meeting. The election of directors and ratification of the auditor are critical corporate governance activities that directly impact the company's leadership and financial oversight.

Risk Assessment

Risk Level: low — Horizon Technology Finance Corp shows low risk based on this filing. The filing is a routine proxy statement for an annual meeting and does not contain new financial performance data or significant strategic changes, thus posing minimal immediate risk.

Analyst Insight

Stockholders should review the proxy materials to make informed voting decisions on director elections and auditor ratification.

Key Numbers

• June 6, 2024 — Annual Meeting Date (2024 Annual Meeting of Stockholders)
• 9:30 AM — Meeting Time (2024 Annual Meeting of Stockholders)
• 3 — Directors to be Elected (Class II directors)
• 2027 — Director Term End (Until the 2027 annual meeting of stockholders)

Key Players & Entities

• Horizon Technology Finance Corp. (company) — Registrant and filer of the proxy statement
• June 6, 2024 (date) — Date of the 2024 Annual Meeting of Stockholders
• RSM US LLP (company) — Proposed independent registered public accounting firm
• Robert D. Pomeroy, Jr. (person) — Chief Executive Officer and Chairman of the Board of Directors
• 2024 (date) — Fiscal year for which RSM US LLP is proposed as auditor
• 2027 (date) — Year until which elected directors will serve

FAQ

Risk Factors

• Compliance with SEC Regulations [low — regulatory]: The company must comply with all SEC rules and regulations regarding proxy solicitations and annual meetings.
• Conduct of Annual Meeting [low — operational]: Ensuring the smooth execution of the annual meeting, including voting procedures and quorum requirements.
• Selection of Independent Auditor [low — financial]: The ratification of RSM US LLP is subject to shareholder approval and auditor independence requirements.

Key Dates

• 2024-06-06: 2024 Annual Meeting of Stockholders — Key date for shareholder voting on directors and auditor
• 2024-04-23: Filing Date — Date the definitive proxy statement was filed with the SEC

Glossary

DEF 14A

Definitive Proxy Statement (This form is used to solicit shareholder votes for company matters, such as director elections and auditor ratification.)

Proxy Card

A card or form that allows a shareholder to vote by mail or electronically. (Essential tool for shareholders to exercise their voting rights when unable to attend the meeting in person.)

Key Financial Figures

• $50,000 — stimated that it will pay approximately $50,000 for such services. If the Company engag
• $100,001 — P. Balkin None James J. Bottiglieri $100,001-$500,000 Jonathan J. Goodman None Ed
• $500,000 — n None James J. Bottiglieri $100,001-$500,000 Jonathan J. Goodman None Edmund V. M
• $50,001 — an J. Goodman None Edmund V. Mahoney $50,001-$100,000 Elaine A. Sarsynski $50,001-
• $100,000 — odman None Edmund V. Mahoney $50,001-$100,000 Elaine A. Sarsynski $50,001-$100,000
• $1,000,000 — 01-$100,000 Joseph J. Savage $500,000-$1,000,000 Interested Directors Gerald A. Micha
• $1 — 1) Dollar ranges are as follows: None; $1-$10,000; $10,001-$50,000; $50,001-$100,
• $10,000 — Dollar ranges are as follows: None; $1-$10,000; $10,001-$50,000; $50,001-$100,000; $10
• $10,001 — anges are as follows: None; $1-$10,000; $10,001-$50,000; $50,001-$100,000; $100,001-$50
• $500,001 — 0; $50,001-$100,000; $100,001-$500,000; $500,001-$1,000,000 or over $1,000,000. PROPOSA

Filing Documents

• hrzn20240403c_def14a.htm (DEF 14A) — 288KB
• a01.jpg (GRAPHIC) — 142KB
• a02.jpg (GRAPHIC) — 121KB
• plogo01.jpg (GRAPHIC) — 5KB
• 0001437749-24-012815.txt (&nbsp;) — 1227KB
• hrzn-20231231.xsd (EX-101.SCH) — 3KB
• hrzn-20231231_def.xml (EX-101.DEF) — 2KB
• hrzn-20231231_lab.xml (EX-101.LAB) — 2KB
• hrzn-20231231_pre.xml (EX-101.PRE) — 1KB
• hrzn20240403c_def14a_htm.xml (XML) — 1KB

Security Ownership of Certain Beneficial Owners and Management

Security Ownership of Certain Beneficial Owners and Management As of the Record Date, to the Company's knowledge, there are no persons who would be deemed to "control" the Company, as such term is defined in the Investment Company Act of 1940, as amended (the " 1940 Act "). The Board consist of interested directors and independent directors. Interested directors are "interested persons" of the Company, as defined in the 1940 Act, and independent directors are all other directors (the " Independent Directors "). 4 The following table sets forth, as of April 19, 2024, certain ownership information with respect to the Company's Common Stock for those persons who directly or indirectly own, control or hold with the power to vote five percent (5%) or more of the Company's outstanding Common Stock and all executive officers and directors, including director nominees, individually and as a group. Name and Address Type of Ownership Shares Owned Percentage of Common Stock Outstanding Independent Directors Michael P. Balkin (1) — — — James J. Bottiglieri (1) Record/Beneficial 16,342 * Jonathan J. Goodman (1) — — — Edmund V. Mahoney (1) Record/Beneficial 7,900 * Elaine A. Sarsynski (1) Beneficial 7,000 * Joseph J. Savage (1) Record/Beneficial 50,000 * Interested Directors Gerald A. Michaud (1) Record/Beneficial 156,244 * Robert D. Pomeroy, Jr. (1) Record/Beneficial 210,424 * Executive Officers John C. Bombara (1) Record/Beneficial 13,585 * Daniel S. Devorsetz (1) Record/Beneficial 9,057 * Lynn Dombrowski (1) — — — Diane Earle (1) — — — Daniel R. Trolio (1) Record/Beneficial 2,745 * All directors, director nominees and executive officers as a group (13 persons) Record/Beneficial 473,297 1.4 % (1) The address for each executive officer, director and director nominee is c/o Horizon Technology Finance Management LLC, 312 Farmington Avenue, Farmington, Connecticut 06032. * Less than one

View Full Filing

View this DEF 14A filing on SEC EDGAR