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 7, 2024
(Exact name of registrant as specified in its charter)
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(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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(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:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Ticker Symbol(s)
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Name of each exchange on which registered
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The
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The
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The
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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
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Corporate Governance and Management
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Item 5.07
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Submission of Matters to a Vote of Security Holders |
Annual Meeting Results
On June 6, 2024, Horizon Technology Finance Corporation (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). 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 April 23, 2024. As of April 19, 2024, the record date for the Annual Meeting, 35,020,774 shares of the Company’s common stock were eligible to vote.
Proposal 1: The Company’s stockholders elected three Class II directors of the Company, each of whom will serve until the 2027 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:
| Name | For | Withheld | Broker Non-Votes |
| Michael P. Balkin | 6,772,524 | 1,623,880 | --- |
| Edmund V. Mahoney | 6,791,178 | 1,605,226 | --- |
| Elaine A. Sarsynski | 6,940,417 | 1,455,987 | --- |
Proposal 2: The Company's stockholders ratified the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2024. The following votes were taken in connection with this proposal:
| For | Against | Withheld | Broker Non-Votes |
| 21,355,828 | 324,712 | 327,077 | --- |
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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 7, 2024
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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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Robert D. Pomeroy, Jr.
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Chief Executive Officer
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