Welcome to our dedicated page for Horizon Techn SEC filings (Ticker: HRZN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Horizon Technology Finance Corporation filings document a specialty finance issuer focused on debt investments and related warrant and equity positions in technology, life science, healthcare information and services, and sustainability companies. Recent 8-K filings record operating and financial results, board-declared regular and special distributions, shareholder voting matters, and capital-structure details for common stock and the 6.25% Notes due 2027.
The filing record also documents material agreements and corporate actions, including the completed Monroe Capital Corporation merger and the HRZN CRFH LLC joint venture, along with governance and investment-committee arrangements relevant to those events.
Horizon Technology Finance Corp director Thomas J. Allison filed an amended Form 4 after an open-market purchase of Common Stock. He bought 6,000 shares on June 9, 2026 at $4.36 per share and now beneficially owns 56,617 shares.
The amendment corrects a previously reported post-transaction holding of 55,926 shares, which had omitted shares acquired through the company’s dividend reinvestment plan. The corrected figure now includes those reinvested dividend shares.
Horizon Technology Finance Corp director O'Connor Kimberley Ann bought shares in the company. On June 9, 2026, she made an open-market purchase of 10,000 shares of Common Stock at an average price of $4.3699 per share. Following this transaction, she directly owned 10,000 shares.
Horizon Technology Finance Corp director Jonathan Joseph Goodman reported an open-market purchase of company stock. Acting as trustee for the Jonathan J. Goodman Revocable Trust, he bought 6,000 shares of common stock at $4.325 per share. Following this transaction, the trust’s indirect holdings in Horizon Technology Finance Corp increased to 8,312 shares.
Horizon Technology Finance Corp Executive VP and CFO Daniel R. Trolio reported an open-market purchase of Common Stock. He bought 11,500 shares at a price of $4.34 per share, bringing his directly held stake to 15,023 shares after the transaction.
Horizon Technology Finance Corp Chief Investment Officer Paul G. Seitz reported an open-market purchase of Common Stock. He bought 11,477 shares at $4.35 per share and now directly holds 12,242 shares. This filing reflects a relatively small insider share increase.
Horizon Technology Finance Corp director Thomas J. Allison made an open-market purchase of Common Stock. On June 9, 2026, he bought 6,000 shares at $4.36 per share. After this transaction, he directly owns 55,926 shares of Horizon’s common stock.
Horizon Technology Finance Corp CEO Michael Balkin reported significant changes in his shareholdings. On April 14, 2026, he acquired 93,527 shares of common stock as a grant/award acquisition, linked to the completion of a merger in which Monroe Capital Corporation stock was converted into Horizon shares at a 0.9402-to-1 ratio and a reference market price of $4.57 per share.
On June 9, 2026, Balkin made an open-market purchase of 100,000 shares of Horizon common stock at $4.34 per share, bringing his direct holdings to 223,527 shares. He also reports 20,000 shares held indirectly through the Michael P. Balkin Revocable Trust.
Horizon Technology Finance Corporation reported a change in its independent auditor. On May 13, 2026, the Board dismissed RSM US LLP, which had served as the company’s independent registered public accounting firm since 2008. RSM’s audit reports on the 2024 and 2025 financial statements contained no adverse opinions, disclaimers, or qualifications, and the company states there were no disagreements or reportable events with RSM during that period.
The Board, following the Audit Committee’s recommendation, approved the appointment of Grant Thornton LLP as the new independent registered accounting firm to audit the company’s consolidated financial statements for the fiscal year ending December 31, 2026. The company also states it did not consult Grant Thornton on accounting principles, audit opinions, or any disagreements or reportable events before this appointment. A confirmation letter from RSM to the SEC is filed as an exhibit.
Horizon Technology Finance Corporation is asking stockholders to approve routine 2026 annual meeting matters. Investors will vote to re-elect two Class I directors, Kimberley A. O’Connor and Thomas J. Allison, to terms running to the 2029 annual meeting, and to ratify Grant Thornton LLP as independent registered public accounting firm for the year ending December 31, 2026.
The record date is April 27, 2026, when 68,261,111 common shares were outstanding, each entitled to one vote. The proxy describes board structure after the merger with Monroe Capital Corporation, committee responsibilities, director independence, director compensation, related-party arrangements with the external adviser, and the recent replacement of RSM US LLP by Grant Thornton following an Audit Committee recommendation, with no reported audit disagreements.
Horizon Technology Finance Corporation reported stable book value but softer income for the quarter ended March 31, 2026. Total assets were $791,647 thousand, down from $811,104 thousand at December 31, 2025, while total investments at fair value rose to $695,697 thousand from $647,244 thousand.
Borrowings decreased to $447,166 thousand from $473,027 thousand, and net assets increased to $333,863 thousand from $318,502 thousand, keeping net asset value per common share at $6.98. Net investment income was $8,971 thousand versus $10,719 thousand a year earlier.
After net realized and unrealized losses of $6,193 thousand, the net increase in net assets from operations was $2,778 thousand, improving from a $21,436 thousand decrease in the prior-year quarter. Cash, cash equivalents and restricted cash declined to $73,262 thousand, and the company declared distributions of $0.18 per share.
Horizon Technology Finance Corporation reported stable book value but softer income for the quarter ended March 31, 2026. Total assets were $791,647 thousand, down from $811,104 thousand at December 31, 2025, while total investments at fair value rose to $695,697 thousand from $647,244 thousand.
Borrowings decreased to $447,166 thousand from $473,027 thousand, and net assets increased to $333,863 thousand from $318,502 thousand, keeping net asset value per common share at $6.98. Net investment income was $8,971 thousand versus $10,719 thousand a year earlier.
After net realized and unrealized losses of $6,193 thousand, the net increase in net assets from operations was $2,778 thousand, improving from a $21,436 thousand decrease in the prior-year quarter. Cash, cash equivalents and restricted cash declined to $73,262 thousand, and the company declared distributions of $0.18 per share.