ࡱ> MN l \pThe Free Software Foundation B=PF0*8X@"1 Helvetica1Courier1 Courier New1 Courier New1 Helvetica$#,##0_);($#,##0)$#,##0_);[Red]($#,##0)$#,##0.00_);($#,##0.00)$#,##0.00_);[Red]($#,##0.00)-**_($* #,##0_);_($* (#,##0);_($* "-"_);_(@_)*)'_(* #,##0_);_(* (#,##0);_(* "-"_);_(@_)5,2_($* #,##0.00_);_($* (#,##0.00);_($* "-"??_);_(@_)2+/_(* #,##0.00_);_(* (#,##0.00);_(* "-"??_);_(@_)2$#,##0.00;[Red]$#,##0.003$#,##0.00;[Red]($#,##0.00)4$#,##0;[Red]($#,##00)50.00%;[Red](0.00%)6 0%;[Red](0%)7#,##0.00;[Red](#,##0.00)8#,##0;[Red](#,##0)                + ) , *   Ј ~~ ؈ ~~#؈ ~~ ؈ ~~8#܈ ~~7#܈ ~~<#܈ ~~"؈ ~~4#܈ ~~83ffff̙̙3f3fff3f3f33333f33Exchange Act of 1934&,Horizon Technology Finance CorpHorizon Technology (1)$Beneficial Ownership&a*Security Ownership of Certain B&>Dollar Range of Securities Bene&HClass I Directors continuing di&\Class III Directors continuing dpNO TITLE yCompensation of Directors&3SELECTION OF INDEPENDENT REGISTAudit Committee Report1 l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } $} $ } $4} $ } $} $ } a/      'Horizon Technology Finance CorpDEF 14A 04/19/2018Exchange Act of 1934 ?#Preliminary Proxy Statement ?/'Confidential, for Use of the Commission       Only ? " Definitive Proxy Statement   * "(as permitted by Rule 14a-6(e)(2)) ? & Definitive Additional Material     ? 3 +Soliciting Material Pursuant to Rule 14a-12     $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/()Tth\lh=PF0*8X> @ l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934Horizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } $ } U} $ } :      'Horizon Technology Finance CorpDEF 14A 04/19/2018.&Horizon Technology Finance Corporation~ 2*Title of each class of securities to which    transaction applies:     ~  / 'Aggregate number of securities to which    transaction applies:    ~ 0(Per unit price or other underlying value4,of transaction computed pursuant to Exchange4,Act Rule 0-11 (Set forth the amount on which2*the filing fee is calculated and state howit was determined):~ 80Proposed maximum aggregate value of transaction:~ Total fee paid:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/>"0nbVJz!SAl<=PF0*8X> @ l  S$  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpBeneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } $ } U} $ } 0      'Horizon Technology Finance CorpDEF 14A 04/19/2018.&Horizon Technology Finance Corporation~ Amount previously paid:     ~  0 (Form, schedule or registration statement    no.:     ~    Filing party:~  Date filed:$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/0*nbVJwCg7+=PF0*8X> @ l  *  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } 1} } $      'Horizon Technology Finance CorpDEF 14A 04/19/2018Beneficial Ownership~   $ ____________________________1 )Created by Morningstar Document Research.0 (http://documentresearch.morningstar.com/ th\6*=PF0*8X> @ l  !=%>  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } 7} $ } 0} $ }  } $ } U} $ !                                 'Horizon Technology Finance CorpDEF 14A 04/19/2018F>Security Ownership of Certain Beneficial Owners and Management Percentage of         Common    Type of  Shares   Stock  Name and Address   Ownership  Owned    Outstanding  Principal Stockholders          (  Compass Horizon Partners, LP (1)  Record/Beneficial  ~ .    @ %  Independent Directors   James J. Bottiglieri (2)Record/Beneficial~   * Edmund V. Mahoney (2)Record/Beneficial~ vY  * Elaine A. Sarsynski (2) Beneficial~ B  * Joseph J. Savage (2)Record/Beneficial~ !  * Interested directors  "Robert D. Pomeroy, Jr. (2)Record/Beneficial~   * Gerald A. Michaud (2)Record/Beneficial~ W  * Executive officers  Daniel R. Trolio (2) ? ?  ? John C. Bombara (2)Record/Beneficial~ >u  * Daniel S. Devorsetz (2)Record/Beneficial~ *N  * 6.All directors, director nominees and executiveRecord/Beneficial~   ?  %'officers as a group (9 persons)$____________________________1)Created by Morningstar Document Research.DTlVJ>2G4Xbv; 0 (http://documentresearch.morningstar.com/H=PF0*8X> @J         l  OH  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } } $ } } $      'Horizon Technology Finance CorpDEF 14A 04/19/2018B:Dollar Range of Securities Beneficially Owned by Directors Directors of the CompanyDollar Range of Common   Stock of the Company (1)     Independent Directors     James J. Bottiglieri   $50,001-$100,000  Edmund V. Mahoney   $50,001-$100,000 Elaine A. Sarsynski$10,001-$50,000Joseph J. Savage$100,001-$500,000Interested DirectorsRobert D. Pomeroy, Jr.$500,001-$1,000,000Gerald A. Michaud$500,001-$1,000,000$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/4ZNB6l^SvN=PF0*8X> @*  l  "[t\  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } } $ } } $ } 7} $ } 6} $ }  "                                 'Horizon Technology Finance CorpDEF 14A 04/19/2018VNClass I Directors (continuing directors not up for re-election at the Meeting)!Name, Address and Age (1) Position(s)Term of Principal Other    Held with   Office and   Occupation(s)  Public Company   Company   Length of  During the Past 5 Years  Directorships Held      Time Served    by Director or          Nominee for         Director During thePast 5 Years (2)Independent Director!James J. Bottiglieri (62)Director6.Class I Director since July 2010; Term Expires-%Director of Compass Group Diversified None.~ 2*Holdings LLC (?CODI?) since December 2005.1)Chief financial officer of CODI from 20055-through 2013. CODI owns and manages a diverse3+family of established North American middle/'market businesses. Mr. Bottiglieri also0(served as an executive vice president of1)CODI?s external manager from 2005 through~ vInterested Director"Gerald A. Michaud (65) (3)Director, President1)Class II Director from March 2010 through/'President and a Director of the Company None.3+March 6, 2014; Class I Director since March0(since March 2010 and Managing Member and"6, 2014; Term Expires 20200(President of the Advisor since May 2003.$____________________________DlF:."}>BG/JLRY* ! 1 )Created by Morningstar Document Research.0!(http://documentresearch.morningstar.com/=PF0*8X> @!!  l  !Dop  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } %} $ } 0.} $ } 1} $ } U5} $ }  !                                 'Horizon Technology Finance CorpDEF 14A 04/19/2018XPClass III Directors (continuing directors not up for re-election at the Meeting)!Name, Address and Age (1) Position(s)Term of Principal Other    Held with   Office and   Occupation(s)  Public Company   Company   Length of  During the Past 5 Years  Directorships Held      Time Served    by Director or          Nominee for         Director During thePast 5 Years (2)Interested Director'Robert D. Pomeroy, Jr. (67) (3).&Chairman of the Board, Chief Executive1)Class III Director since March 2010; Term.&Chief Executive Officer of the Company None.Officer Expires 20192*since March 2010 and Chairman of the Board0(of the Company since July 2010. Managing1)Member and Chief Executive Officer of theAdvisor since May 2003.Independent DirectorJoseph J. Savage (65)Director1)Class III Director since March 2016; Term3+Retired. Executive Vice Chairman of Webster None. expires 2019-%Financial Corporation (NYSE: WBS) and4,Webster Bank, N.A. from October 2015 through$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/-%Vice President, Commercial Banking of2*Webster Bank. N.A. from April 2002 throughD{lD8, {<@EZUH`t e0         January 2014.u=PF0*8X> @ l  _y  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing Compensation of Directors!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } U} $ } I;      'Horizon Technology Finance CorpDEF 14A 04/19/2018NO TITLE~ 0(The business address of the nominees and  1 )other directors is c/o Horizon Technology  . &Finance Management LLC, 312 Farmington  % Avenue, Farmington, CT 06032.~  2 *No director otherwise serves as a director  9 1of an investment company subject to or registeredunder the 1940 Act.~ 2*Mr. Pomeroy and Mr. Michaud are interested4,directors due to their positions as officers3+of the Company and of the Advisor and their*"ownership interest in the Advisor.$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/4XthBfw1%=PF0*8X> @ l  8  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLE!SELECTION OF INDEPENDENT REGISTAudit Committee Report1U } $} $ } } $ } }  $ } } $                           'Horizon Technology Finance CorpDEF 14A 04/19/2018!Compensation of Directors NameFees Earned or All Other   Total (2)    Paid in Cash (1)   Compensation (2)     Independent Directors             James J. Bottiglieri ~ R(    None  ~ R(  Edmund V. Mahoney ~ R(    None  ~ R( Elaine A. Sarsynski~  None ~   Joseph J. Savage~ = None ~  =     Interested Directors    Robert D. Pomeroy, Jr. None None    None Gerald A. Michaud None None    None $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/6f {ocWS#r5^7+=PF0*8X> @         l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of DirectorsAudit Committee Report1U } $} $ }  } $ }  } $                       'Horizon Technology Finance CorpDEF 14A 04/19/2018B:SELECTION OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRMFor the fiscal year   ended December 31,  ~   ~   Audit Fees (1) ~ :  ~ ~  Audit-Related Fees (2)   ?   ~    Tax Fees (3)  ~    ~ 2 All Other Fees (4) ? ? Total~ *~ ^3$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/.,ZNB6ez~! =PF0*8X> @Z       l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? Exchange Act of 1934!Horizon Technology Finance CorpHorizon Technology (1)Beneficial Ownership!Security Ownership of Certain B!Dollar Range of Securities Bene!Class I Directors continuing di!Class III Directors continuing  NO TITLECompensation of Directors!SELECTION OF INDEPENDENT REGISTU } $ } !      'Horizon Technology Finance CorpDEF 14A 04/19/2018!Audit Committee Report(1)The Audit Committee # James J. Bottiglieri, Chair  Elaine A. Sarsynski  Joseph J. Savage  $____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/&W@{ocW,f=PF0*8X> @ Root Entry FBook  D  !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKL