# EDGAR Filing Document

**Accession Number:** 0001487428
**File Stem:** 0001437749-26-021848
**Filing Date:** 2026-6
**Character Count:** 5452
**Document Hash:** da077e78d1a96fb6946b27e9e7f6e52f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-26-021848.hdr.sgml**: 20260626

**ACCESSION NUMBER**: 0001437749-26-021848

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20260626

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20260626

**DATE AS OF CHANGE**: 20260626

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Horizon Technology Finance Corp
- **CENTRAL INDEX KEY:** 0001487428

**ORGANIZATION NAME:**
- **EIN:** 272114934
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 814-00802
- **FILM NUMBER:** 261129938

**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

?xml version='1.0' encoding='ASCII'? hrzn20260626_8k.htm

**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): June 26, 2026**

## HORIZON TECHNOLOGY FINANCE CORPORATION
(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **814-00802** | **27-2114934** |
| (State or other jurisdiction<br>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))

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

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| | | |
|:---|:---|:---|
| 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 |
| 6.25% Notes due 2027 | HTFC | The New York Stock Exchange |

---

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. ☐

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| | |
|:---|:---|
| **Section 5** | **Corporate Governance and Management** |
| **Item 5.07** | **Submission of Matters to a Vote of Security Holders** |

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**<u>Annual Meeting Results</u>**

On June 26, 2026, Horizon Technology Finance Corporation (the "<u>Company</u>") held its annual meeting of stockholders (the "<u>Annual Meeting</u>"). At the Annual Meeting, the Company's stockholders approved two proposals. The proposals are described in detail in the Company's definitive proxy statement for the Annual Meeting as filed with the Securities and Exchange Commission on May 14, 2026. As of April 27, 2026, the record date for the Annual Meeting, 68,261,111 shares of the Company's common stock were eligible to vote.

**Proposal 1**: The Company's stockholders elected two Class I directors of the Company, each of whom will serve until the 2029 annual meeting of stockholders, or until his or her successor is duly elected and qualified or until his or her earlier resignation, removal from office, death or incapacity. The following votes were taken in connection with this proposal:

---

| | | | |
|:---|:---|:---|:---|
| <u>Name</u> | <u>For</u> | <u>Withheld</u> | <u>Broker Non-Votes</u> |
| Kimberley A. O'Connor | 13,760,758 | 3,450,722 | 25,143,830 |
| Thomas J. Allison | 14,572,710 | 2,638,770 | 25,143,830 |

---

**Proposal 2**: The Company's stockholders ratified the selection of Grant Thornton LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2026. The following votes were taken in connection with this proposal:

---

| | | | |
|:---|:---|:---|:---|
| <u>For</u> | <u>Against</u> | <u>Withheld</u> | <u>Broker Non-Votes</u> |
| 38,701,672 | 2,326,097 | 1,327,541 | --- |

---

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**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.

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| | | |
|:---|:---|:---|
| Date: June 26, 2026 | HORIZON TECHNOLOGY FINANCE <br>CORPORATION | HORIZON TECHNOLOGY FINANCE <br>CORPORATION |
|  | By: | <u>/s/ Michael P. Balkin</u> |
|  |  | Michael P. Balkin |
|  |  | *Chief Executive Officer* |

---