UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00802 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 27-2114934 (State or ot ...

Horizon Technology Finance (NASDAQ:HRZN) Q3 2019 Earnings Conference Call October 30, 2019 9:00 AM ET Company Participants Megan Bacon – Marketing Support Manager Rob Pomeroy – Chairman and Chief Executive Officer Jerry Michaud – President Dan Trolio – Chief Financial Officer Conference Call Participants Paul Johnson – KBW Operator Greetings, and welcome to Horizon Technology Finance Corporation Third Quarter 2019 Financial Results Conference Call. At this time, all participants are in a listen-only mode. A ...

[PART I: FINANCIAL INFORMATION](index=3&type=section&id=PART%20I) This section provides the consolidated financial statements, management's discussion and analysis, market risk disclosures, and controls and procedures for Horizon Technology Finance Corporation [Consolidated Financial Statements](index=3&type=section&id=Item%201.%20Consolidated%20Financial%20Statements) The consolidated financial statements present the financial position, operational results, and cash flows for Horizon Technology Finance Corporation as of and for the periods ended September 30, 2019, and December 31, 2018 [Consolidated Statements of Assets and Liabilities](index=4&type=section&id=Consolidated%20Statements%20of%20Assets%20and%20Liabilities) Total assets increased to **$325.0 million** by September 30, 2019, driven by higher investments, while net asset value per share remained stable at **$11.67** Consolidated Statements of Assets and Liabilities (in thousands, except per share data) | Metric | September 30, 2019 (Unaudited) | December 31, 2018 | | :--- | :--- | :--- | | **Total Investments at Fair Value** | $281,519 | $248,441 | | **Total Assets** | $324,951 | $266,749 | | **Total Liabilities** | $156,807 | $132,492 | | **Total Net Assets** | $168,144 | $134,257 | | **Net Asset Value Per Common Share** | $11.67 | $11.64 | [Consolidated Statements of Operations](index=5&type=section&id=Consolidated%20Statements%20of%20Operations) Net investment income significantly increased to **$5.8 million** for Q3 2019 and **$14.0 million** for the nine months, reflecting improved operational performance Key Operational Data (in thousands, except per share data) | Metric | Q3 2019 | Q3 2018 | Nine Months 2019 | Nine Months 2018 | | :--- | :--- | :--- | :--- | :--- | | **Total Investment Income** | $11,375 | $7,797 | $30,150 | $22,285 | | **Net Expenses** | $5,602 | $4,395 | $16,132 | $12,383 | | **Net Investment Income** | $5,773 | $3,402 | $14,018 | $9,902 | | **Net Increase in Net Assets from Operations** | $5,206 | $4,259 | $12,769 | $9,792 | | **Net Investment Income per Share** | $0.42 | $0.30 | $1.08 | $0.86 | | **Distributions Declared per Share** | $0.30 | $0.30 | $0.90 | $0.90 | [Consolidated Statements of Changes in Net Assets](index=6&type=section&id=Consolidated%20Statements%20of%20Changes%20in%20Net%20Assets) Net assets grew from **$134.3 million** to **$168.1 million** for the nine months ended September 30, 2019, primarily due to operational income and stock issuance - Key drivers for the increase in net assets during the first nine months of 2019 were net income from operations (**$14.0 million**), net proceeds from stock issuance (**$33.3 million**), and net unrealized appreciation on investments (**$2.6 million**)[15](index=15&type=chunk) [Consolidated Statements of Cash Flows](index=8&type=section&id=Consolidated%20Statements%20of%20Cash%20Flows) Net cash used in operating activities was **$40.3 million**, offset by **$44.7 million** from financing activities, resulting in a **$4.4 million** net increase in cash for the nine months Cash Flow Summary for the Nine Months Ended September 30 (in thousands) | Cash Flow Activity | 2019 | 2018 | | :--- | :--- | :--- | | **Net Cash Used in Operating Activities** | $(40,307) | $(7,730) | | **Net Cash Provided by Financing Activities** | $44,674 | $7,045 | | **Net Increase (Decrease) in Cash** | $4,367 | $(685) | | **Cash at End of Period** | $16,958 | $5,909 | [Consolidated Schedules of Investments](index=9&type=section&id=Consolidated%20Schedules%20of%20Investments) The investment portfolio's fair value reached **$281.5 million**, primarily comprising debt investments diversified across technology and life science sectors Total Portfolio Investments (in thousands) | Date | Cost | Fair Value | | :--- | :--- | :--- | | **September 30, 2019** | $281,377 | $281,519 | | **December 31, 2018** | $250,921 | $248,441 | - The investment portfolio is primarily concentrated in debt investments, which constitute **146.9% of net assets** as of September 30, 2019[20](index=20&type=chunk) - The largest sector concentrations are Technology (**71.4% of net assets**) and Life Science (**66.6% of net assets**)[20](index=20&type=chunk) [Notes to the Consolidated Financial Statements](index=20&type=section&id=Notes%20to%20the%20Consolidated%20Financial%20Statements) These notes detail accounting policies, related party transactions, investment specifics, fair value measurements, borrowings, and financial highlights [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=46&type=section&id=Item%202.%20Management's%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses the company's financial performance, investment strategy, asset quality, and liquidity, comparing results for the periods ended September 30, 2019, and 2018 - The company's investment objective is to maximize total return by generating current income from secured debt investments (Venture Loans) and capital appreciation from associated warrants[212](index=212&type=chunk) - On October 30, 2018, stockholders approved reducing the asset coverage requirement from **200% to 150%**, allowing the company to increase its leverage[213](index=213&type=chunk) [Portfolio Composition and Investment Activity](index=55&type=section&id=Portfolio%20composition%20and%20investment%20activity) The investment portfolio's fair value was **$281.5 million**, with debt investments making up **89.9%**, and **$117.8 million** in net new debt investments originated Portfolio Composition by Investment Type (Fair Value) | Investment Type | Sept 30, 2019 (%) | Dec 31, 2018 (%) | | :--- | :--- | :--- | | Debt investments | 89.9% | 87.1% | | Warrants | 3.5% | 3.8% | | Other investments | 0.3% | 3.1% | | Equity | 1.2% | 0.7% | | Equity interest in HSLFI | 5.1% | 5.3% | - For the nine months ended September 30, 2019, the company funded **$135.3 million** in new debt investments and received **$83.6 million** in principal payments and early pay-offs[218](index=218&type=chunk) [Debt Investment Asset Quality](index=56&type=section&id=Debt%20investment%20asset%20quality) The debt portfolio maintained a weighted average credit rating of **3.1**, with **75.7%** of investments rated as standard risk Debt Investment Portfolio by Credit Rating (Fair Value) | Credit Rating | Sept 30, 2019 (%) | Dec 31, 2018 (%) | | :--- | :--- | :--- | | 4 (Highest Quality) | 17.0% | 19.3% | | 3 (Standard Risk) | 75.7% | 71.8% | | 2 (Increased Risk) | 6.8% | 8.9% | | 1 (Deteriorating) | 0.5% | 0.0% | - As of September 30, 2019, one debt investment with a fair value of **$1.5 million** was on non-accrual status and rated 1[71](index=71&type=chunk)[222](index=222&type=chunk) [Horizon Secured Loan Fund I LLC (HSLFI)](index=57&type=section&id=Horizon%20Secured%20Loan%20Fund%20I%20LLC) HSLFI, a joint venture, held **$47.1 million** in total assets, generating a **12.7%** annualized yield on debt investments for Q3 2019 - As of September 30, 2019, the company had an unfunded commitment of **$11.1 million** to HSLFI out of an original **$25.0 million** commitment[224](index=224&type=chunk) HSLFI Key Metrics | Metric | As of/For Q3 2019 | | :--- | :--- | | Total Assets | $47.1 million | | Total Investments (Fair Value) | $42.9 million | | Dollar-weighted annualized yield | 12.7% | | Number of portfolio companies | 7 | [Consolidated Results of Operations](index=62&type=section&id=Consolidated%20results%20of%20operations) Total investment income and net investment income significantly increased for both Q3 and the nine months ended September 30, 2019, driven by portfolio growth and fee income Comparison of Results of Operations (in thousands) | Metric | Q3 2019 | Q3 2018 | Nine Months 2019 | Nine Months 2018 | | :--- | :--- | :--- | :--- | :--- | | **Total Investment Income** | $11,375 | $7,797 | $30,150 | $22,285 | | **Net Investment Income** | $5,773 | $3,402 | $14,018 | $9,902 | | **Net Increase in Net Assets** | $5,206 | $4,259 | $12,769 | $9,792 | - The dollar-weighted annualized yield on debt investments increased to **17.7%** in Q3 2019 from **15.0%** in Q3 2018, reflecting higher accelerated fees from prepayments[242](index=242&type=chunk)[243](index=243&type=chunk) - For the nine months ended September 30, 2019, the Advisor waived **$1.8 million** in performance-based incentive fees, compared to a waiver of **$0.6 million** in the same period of 2018[261](index=261&type=chunk)[262](index=262&type=chunk) [Liquidity and Capital Resources](index=66&type=section&id=Liquidity%20and%20capital%20resources) The company had **$36.4 million** in cash and **$110.0 million** in unused credit, with sufficient liquidity for the next 12 months, supported by recent equity offerings - The company established a **$50.0 million** At-The-Market (ATM) sales agreement on August 2, 2019, and sold approximately **0.9 million shares** for **$10.4 million** in net proceeds by September 30, 2019[269](index=269&type=chunk)[270](index=270&type=chunk) Borrowings Outstanding (in thousands) | Facility | Sept 30, 2019 | Dec 31, 2018 | | :--- | :--- | :--- | | Key Facility | $15,000 | $90,500 | | Asset-Backed Notes | $100,000 | $0 | | 2022 Notes | $37,375 | $37,375 | | **Total Borrowings (net)** | **$149,920** | **$126,853** | - As of September 30, 2019, the company had unfunded credit commitments of **$37.8 million** to its portfolio companies[288](index=288&type=chunk) [Quantitative and Qualitative Disclosures About Market Risk](index=67&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company is primarily exposed to interest rate risk, with a **100 basis point** rate increase projected to boost net assets by **$2.1 million** annually Annual Impact of Interest Rate Changes on Net Assets (in thousands) | Change in Basis Points | Change in Net Assets | | :--- | :--- | | Up 300 | $7,253 | | Up 100 | $2,054 | | Down 100 | $(613) | | Down 300 | $(722) | - As of September 30, 2019, **99%** of the outstanding principal amount of the company's debt investments bore interest at floating rates, primarily based on a LIBOR index[319](index=319&type=chunk) [Controls and Procedures](index=68&type=section&id=Item%204.%20Controls%20and%20Procedures) Management concluded that disclosure controls and procedures were effective as of September 30, 2019, with no material changes to internal controls - The CEO and CFO concluded that the company's disclosure controls and procedures were effective as of September 30, 2019[324](index=324&type=chunk) - There were no material changes in internal control over financial reporting during the most recently completed fiscal quarter[325](index=325&type=chunk) [PART II: OTHER INFORMATION](index=69&type=section&id=PART%20II) This section covers legal proceedings, risk factors, equity sales, defaults, mine safety disclosures, other information, and exhibits [Legal Proceedings](index=69&type=section&id=Item%201.%20Legal%20Proceedings) Neither the company nor its Advisor is currently involved in any material legal proceedings - As of the filing date, there are no material legal proceedings involving the company or its Advisor[327](index=327&type=chunk) [Risk Factors](index=69&type=section&id=Item%201A.%20Risk%20Factors) The company faces increased financial risk due to reduced asset coverage requirements, allowing for greater leverage and potentially higher management fees - The Small Business Credit Availability Act (SBCAA) allowed the company to reduce its asset coverage requirement from **200% to 150%** following stockholder approval on October 30, 2018, enabling it to incur greater leverage[329](index=329&type=chunk) - Increased leverage may amplify financial risk and could result in higher base management fees, as the fee is calculated on gross assets, including borrowed funds[329](index=329&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=69&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) There were no unregistered sales of equity securities during the reporting period - None[332](index=332&type=chunk) [Defaults Upon Senior Securities](index=69&type=section&id=Item%203.%20Defaults%20Upon%20Senior%20Securities) No defaults on senior securities occurred during the reporting period - None[333](index=333&type=chunk) [Mine Safety Disclosures](index=69&type=section&id=Item%204.%20Mine%20Safety%20Disclosures) This section is not applicable to the company's operations - Not applicable[334](index=334&type=chunk) [Other Information](index=70&type=section&id=Item%205.%20Other%20Information) No other material information is reported for the period - None[335](index=335&type=chunk) [Exhibits](index=70&type=section&id=Item%206.%20Exhibits) This section lists all exhibits filed, including required CEO and CFO certifications - The exhibits filed include CEO and CFO certifications pursuant to Sarbanes-Oxley Act Sections 302 and 906[337](index=337&type=chunk)

Horizon Technology Finance (NASDAQ:HRZN) Q2 2019 Earnings Conference Call July 31, 2019 9:00 AM ET Company Participants Megan Bacon - Marketing Support Manager Robert Pomeroy - Chairman and Chief Executive Officer Gerald Michaud - President and Director Daniel Trolio - Senior Vice President and Chief Financial Officer Operator Greetings, and welcome to the Horizon Technology Finance Corporation Second Quarter 2019 Financial Results Conference Call. At this time, all participants are in a listen-only mode. ...

PART I: FINANCIAL INFORMATION [Consolidated Financial Statements](index=3&type=section&id=Item%201.%20Consolidated%20Financial%20Statements) The consolidated financial statements detail the company's financial position, operations, and cash flows, showing increased investments and net investment income for the first half of 2019 [Consolidated Statements of Assets and Liabilities](index=4&type=section&id=Consolidated%20Statements%20of%20Assets%20and%20Liabilities) Total assets increased to $289.3 million by June 30, 2019, driven by investment growth, while net asset value per share slightly decreased Consolidated Statements of Assets and Liabilities (in thousands, except per share data) | Metric | June 30, 2019 (Unaudited) | December 31, 2018 | | :--- | :--- | :--- | | **Total investments at fair value** | **$274,759** | **$248,441** | | Cash | $7,556 | $12,591 | | **Total assets** | **$289,302** | **$266,749** | | Total liabilities | $132,166 | $132,492 | | **Total net assets** | **$157,136** | **$134,257** | | **Net asset value per common share** | **$11.60** | **$11.64** | [Consolidated Statements of Operations](index=5&type=section&id=Consolidated%20Statements%20of%20Operations) Total investment income and net investment income significantly increased for both the three and six months ended June 30, 2019 Consolidated Statements of Operations Highlights (Unaudited, in thousands) | Metric | Three Months Ended June 30, 2019 | Three Months Ended June 30, 2018 | Six Months Ended June 30, 2019 | Six Months Ended June 30, 2018 | | :--- | :--- | :--- | :--- | :--- | | Total investment income | $10,470 | $7,313 | $18,775 | $14,488 | | Net expenses | $5,458 | $4,023 | $10,530 | $7,988 | | **Net investment income** | **$5,012** | **$3,290** | **$8,245** | **$6,500** | | Net realized and unrealized loss | ($474) | ($360) | ($682) | ($967) | | **Net increase in net assets from operations** | **$4,538** | **$2,930** | **$7,563** | **$5,533** | | Net investment income per common share | $0.37 | $0.29 | $0.65 | $0.56 | [Consolidated Statements of Changes in Net Assets](index=6&type=section&id=Consolidated%20Statements%20of%20Changes%20in%20Net%20Assets) Net assets increased to $157.1 million by June 30, 2019, primarily due to stock issuance and operational gains, partially offset by distributions - Net assets increased by **$22.9 million** during the first six months of 2019, reaching **$157.1 million**[14](index=14&type=chunk) - Key drivers for the increase in net assets were the issuance of **2,000,000 shares** of common stock, providing net proceeds of **$23.1 million**, and a net increase from operations of **$7.6 million**[14](index=14&type=chunk) - The increase was partially offset by distributions declared to shareholders totaling **$7.9 million**[14](index=14&type=chunk) [Consolidated Statements of Cash Flows](index=7&type=section&id=Consolidated%20Statements%20of%20Cash%20Flows) Net cash used in operating activities increased to $19.5 million, while financing activities provided $14.4 million, resulting in a $5.0 million net cash decrease Cash Flow Summary (Unaudited, in thousands) | Cash Flow Activity | Six Months Ended June 30, 2019 | Six Months Ended June 30, 2018 | | :--- | :--- | :--- | | Net cash (used in) provided by operating activities | ($19,453) | $1,628 | | Net cash provided by financing activities | $14,418 | $2,618 | | **Net (decrease) increase in cash** | **($5,035)** | **$4,246** | | Cash at end of period | $7,556 | $10,840 | [Consolidated Schedules of Investments](index=8&type=section&id=Consolidated%20Schedules%20of%20Investments) Total investments reached $274.8 million by June 30, 2019, primarily in debt, with the portfolio diversified across technology, life science, and healthcare sectors Investment Portfolio Composition (in thousands) | Investment Type | Fair Value at June 30, 2019 | Fair Value at Dec 31, 2018 | | :--- | :--- | :--- | | Debt | $242,287 | $216,401 | | Warrants | $9,615 | $9,324 | | Other | $6,200 | $7,640 | | Equity | $3,186 | $1,833 | | Equity interest in HSLFI | $13,471 | $13,243 | | **Total investments** | **$274,759** | **$248,441** | Investment Portfolio by Industry Sector (Fair Value, in thousands) | Sector | June 30, 2019 | December 31, 2018 | | :--- | :--- | :--- | | Life Science | $85,730 | $74,879 | | Technology | $132,422 | $119,248 | | Healthcare Information and Services | $31,128 | $24,149 | | Investment funds (HSLFI) | $13,471 | $13,243 | | Cleantech | $109 | $112 | | **Total** | **$274,759** | **$248,441** | [Notes to the Consolidated Financial Statements](index=26&type=section&id=Notes%20to%20the%20Consolidated%20Financial%20Statements) Notes detail the company's BDC/RIC status, accounting policies, fee structure, HSLFI joint venture, borrowings, and a $5.0 million subsequent loan funding - The company is an externally managed, non-diversified, closed-end investment company regulated as a **Business Development Company (BDC)** and has elected to be treated as a **Regulated Investment Company (RIC)** for tax purposes[48](index=48&type=chunk) - The Advisor is compensated via a base management fee (**2.00%** on gross assets up to **$250 million**, **1.60%** above) and a two-part incentive fee. The Advisor waived **$0.7 million** and **$1.8 million** in performance-based incentive fees for the three and six months ended June 30, 2019, respectively[90](index=90&type=chunk)[93](index=93&type=chunk)[98](index=98&type=chunk) - The company co-invests through Horizon Secured Loan Fund I LLC (HSLFI), a joint venture with Arena, in which it holds a **50% equity interest**. As of June 30, 2019, HSLFI had total assets of **$41.0 million**[106](index=106&type=chunk)[109](index=109&type=chunk) - As of June 30, 2019, borrowings consisted of **$89.0 million** outstanding under the **$125 million Key Facility** and **$37.4 million** in **6.25% Notes due 2022**. The company's asset coverage ratio was **224%**[165](index=165&type=chunk)[167](index=167&type=chunk)[168](index=168&type=chunk) - The company had unfunded commitments to extend credit totaling **$43.0 million** as of June 30, 2019[171](index=171&type=chunk) - Subsequent to quarter-end, on July 2, 2019, the company funded a **$5.0 million** loan to a new portfolio company, LogicBio Therapeutics, Inc[183](index=183&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=44&type=section&id=Item%202.%20Management%27s%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses significant increases in investment income, portfolio composition focused on senior term loans, credit quality, HSLFI operations, and strong liquidity Q2 2019 vs Q2 2018 Results (in thousands) | Metric | Q2 2019 | Q2 2018 | | :--- | :--- | :--- | | Total investment income | $10,470 | $7,313 | | Net expenses | $5,458 | $4,023 | | Net investment income | $5,012 | $3,290 | - The increase in investment income was primarily due to a **$47.5 million (24.8%) increase** in the average size of the debt investment portfolio and a higher one-month LIBOR[212](index=212&type=chunk) - As of June 30, 2019, **100%** of the debt investment portfolio at fair value consisted of senior term loans. The portfolio had a weighted average credit rating of **3.1** on a scale of 1 to 4 (4 being highest quality)[188](index=188&type=chunk)[196](index=196&type=chunk) - The company believes its current cash (**$7.6 million**), cash from operations, and funds available from its Key Facility will be sufficient to meet working capital and capital expenditure commitments for at least the next **12 months**[239](index=239&type=chunk)[246](index=246&type=chunk) [Quantitative and Qualitative Disclosures About Market Risk](index=64&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company's primary market risk is interest rate fluctuations, with a sensitivity analysis showing a 100 bps increase would raise net assets by $1.6 million - The company's primary market risk is from changes in interest rates, as **99%** of its debt investments at June 30, 2019, bore interest at floating rates[280](index=280&type=chunk) Interest Rate Sensitivity Analysis (Annual Impact, in thousands) | Change in Basis Points | Change in Net Assets | | :--- | :--- | | Up 300 basis points | $5,133 | | Up 100 basis points | $1,648 | | Down 100 basis points | ($962) | | Down 200 basis points | $9 | [Controls and Procedures](index=65&type=section&id=Item%204.%20Controls%20and%20Procedures) Management concluded that disclosure controls and procedures were effective as of June 30, 2019, with no material changes to internal controls - Based on an evaluation as of June 30, 2019, the CEO and CFO concluded that the company's disclosure controls and procedures were **effective**[284](index=284&type=chunk) - There were no material changes in internal control over financial reporting during the most recently completed fiscal quarter[285](index=285&type=chunk) PART II: OTHER INFORMATION [Legal Proceedings](index=66&type=section&id=Item%201.%20Legal%20Proceedings) Neither the company nor its Advisor is currently subject to any material legal proceedings or known threats - Neither the company nor its Advisor is currently subject to any material legal proceedings[287](index=287&type=chunk) [Risk Factors](index=66&type=section&id=Item%201A.%20Risk%20Factors) No material changes to risk factors, but new leverage capacity (150% asset coverage) increases financial risk and potential management fees - There have been no material changes to the risk factors from the annual report for the year ended December 31, 2018[288](index=288&type=chunk) - The company received stockholder approval to reduce its asset coverage requirement from **200% to 150%** on October 30, 2018, allowing it to incur additional leverage. This increases financial risk and may also increase base management fees[289](index=289&type=chunk)[291](index=291&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=66&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) No unregistered sales of equity securities occurred during the reporting period - None[292](index=292&type=chunk) [Defaults Upon Senior Securities](index=66&type=section&id=Item%203.%20Defaults%20Upon%20Senior%20Securities) No defaults upon senior securities were reported during the period - None[293](index=293&type=chunk) [Mine Safety Disclosures](index=66&type=section&id=Item%204.%20Mine%20Safety%20Disclosures) This disclosure item is not applicable to the company's operations - Not applicable[294](index=294&type=chunk) [Other Information](index=67&type=section&id=Item%205.%20Other%20Information) No other material information is reported for the period - None[295](index=295&type=chunk) [Exhibits](index=67&type=section&id=Item%206.%20Exhibits) The report includes required CEO and CFO certifications under the Sarbanes-Oxley Act of 2002 - Exhibits filed include CEO and CFO certifications pursuant to Exchange Act Rule 13a-14(a) (SOX 302) and 18 U.S.C. Section 1350 (SOX 906)[297](index=297&type=chunk)

Horizon Technology Finance (NASDAQ:HRZN) Q1 2019 Results Earnings Conference Call May 1, 2019 9:00 AM ET Company Participants Megan Bacon - Marketing Support Manager Rob Pomeroy - Chairman and CEO Gerry Michaud - President Dan Trolio - CFO Conference Call Participants Operator Good morning, ladies and gentlemen, and welcome to the Horizon Technology Finance’s First Quarter 2019 Conference Call. At this time all participants are in a listen-only mode. Later, we will conduct a question-and-answer session and ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED MARCH 31, 2019 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER: 814-00802 HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 27-2114934 312 Far ...

Call Starts: 09:00 January 1, 0000 9:39 AM ET Horizon Technology Finance (NASDAQ:HRZN) Q4 2018 Results Conference Call March 06, 2019 09:00 AM ET Company Participants Megan Bacon - Marketing Support Manager Rob Pomeroy - Chairman, Chief Executive Officer Gerry Michaud - President Dan Trolio - Chief Financial Officer Conference Call Participants Robert Dodd - Raymond James Leslie Vandegrift - Raymond James Christopher Testa - National Securities Casey Alexander - Compass Point Operator Good morning, ladies a ...

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K HORIZON TECHNOLOGY FINANCE CORPORATION (Exact name of registrant as specified in its charter) DELAWARE 27-2114934 (State or other jurisdiction of incorporation or organization) 312 Farmington Avenue, Farmington, CT 06032 (Address of principal executive of ices) (Zip Code) Registrant's telephone number, including area code (860) 676-8654 (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT O ...