nv6f
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
NOTICE OF INTENT TO ELECT TO BE SUBJECT TO SECTIONS 55
THROUGH 65 OF THE INVESTMENT COMPANY ACT OF 1940
The undersigned hereby notifies the Securities and Exchange Commission that it intends to
file a notification of election to be subject to sections 55 through 65 of the Investment Company
Act of 1940, (the Act) and in connection with such notice submits the following information:
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Name:
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Horizon Technology Finance Corporation |
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Address
of Principal Business Office:
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76 Batterson Park Road |
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Farmington, CT 06032 |
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Telephone Number:
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(860) 676-8654 |
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Name and Address of Agent
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Robert D. Pomeroy, Jr. |
For Service of Process:
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Chief Executive Officer |
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Horizon Technology Finance Corporation |
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76 Batterson Park Road |
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Farmington, CT 06032 |
The undersigned hereby notifies the Securities and Exchange Commission that it intends to file
a notification of election to be subject to sections 55 through 65 of the Act within ninety days of
this filing. The company would be excluded from the definition of an investment company by section
3(c)(1) of the Act, except that it presently proposes to make a public offering of its securities
as a business development company.
SIGNATURE
Pursuant to the requirements of section 6(f) of the Act, the undersigned company has caused
this notice of intent to elect to be subject to sections 55 through 65 of the Act pursuant to
section 54(a) of the Act to be duly executed on its behalf in the city of Farmington and the State
of Connecticut on the 19th day of March, 2010.
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HORIZON TECHNOLOGY FINANCE CORPORATION |
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By:
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/s/ Robert D. Pomeroy, Jr. |
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Name:
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Robert D. Pomeroy, Jr. |
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Title:
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Chief Executive Officer |
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Attest:
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/s/ John C. Bombara |
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Name:
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John C. Bombara |
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Title:
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Secretary |