ࡱ> LM 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#܈ ~~83ffff̙̙3f3fff3f3f33333f33&Note Schedules filed in paper f&xNote Schedules filed in pap (1)&Note Schedules filed in pap (2)&*Note Schedules filed in pap (3)&6Note Schedules filed in pap (4)&@Note Schedules filed in pap (5)&UKNote Schedules filed in pap (6)&WNote Schedules filed in pap (7)&bNote Schedules filed in pap (8)&lNote Schedules filed in pap (9)&yNote Schedules filed in pa (10)&INote Schedules filed in pa (11)&Note Schedules filed in pa (12) l  )  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } $4 )     'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ #NAMES OF REPORTING PERSONS:    ANHOLT INVESTMENTS LTD.   3 +I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS  (ENTITIES ONLY):~  0(CHECK THE APPROPRIATE BOX IF A MEMBER OF#A GROUP (SEE INSTRUCTIONS): (a) ? (b) x~  SEC USE ONLY:~ +#SOURCE OF FUNDS (SEE INSTRUCTIONS): OO~ 0(CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS3+IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e): ?Dl0$ x5 hK.jP8 !"#$%&'(  ~ !-!%CITIZENSHIP OR PLACE OF ORGANIZATION:""##Bermuda$%$&____________________________1')Created by Morningstar Document Research.0((http://documentresearch.morningstar.com/rfZ2=PF0*8X> @((''&& l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } }       'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu ~  SOLE VOTING POWER:     ~      NUMBER OF~ " SHARED VOTING POWER:SHARESOWNED BY~ v EACHPERSON~ &SOLE DISPOSITIVE POWER: WITH~ ~ *!SHARED DISPOSITIVE POWER:~ v$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/>00$ fB<gA5)=PF0*8X> @ l   })  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } $} y<      'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ .. &AGGREGATE AMOUNT BENEFICIALLY OWNED BY  EACH REPORTING PERSON:   ~ v  ~ 2:2CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES*"CERTAIN SHARES (SEE INSTRUCTIONS): ?~ 6.&PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):3.6% 1~ :4,TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): OO$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/Dl0$ nT @ l  ) 4<6  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } $4 )     'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ #NAMES OF REPORTING PERSONS:   $ COMPASS HORIZON PARTNERS, LP   3 +I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS  (ENTITIES ONLY):~  0(CHECK THE APPROPRIATE BOX IF A MEMBER OF#A GROUP (SEE INSTRUCTIONS): (a) o (b) x~  SEC USE ONLY:~ +#SOURCE OF FUNDS (SEE INSTRUCTIONS): OO~ 0(CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS3+IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e): oDl0$ s0{cF)}eK3 !"#$%&'(  ~ !-!%CITIZENSHIP OR PLACE OF ORGANIZATION:""##Bermuda$%$&____________________________1')Created by Morningstar Document Research.0((http://documentresearch.morningstar.com/rfZ2=PF0*8X> @((''&& l  O@  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } }       'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu ~  SOLE VOTING POWER:     ~      NUMBER OF~ " SHARED VOTING POWER:SHARESOWNED BY~ v EACHPERSON~ &SOLE DISPOSITIVE POWER: WITH~ ~ *!SHARED DISPOSITIVE POWER:~ v$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/>00$ fB<gA5)=PF0*8X> @ l   J  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } $} y<      'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ .. &AGGREGATE AMOUNT BENEFICIALLY OWNED BY  EACH REPORTING PERSON:   ~ v  ~ 2:2CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES*"CERTAIN SHARES (SEE INSTRUCTIONS): o~ 6.&PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):3.6% 1~ :4,TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): PN$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/Dl0$ nT @ l  ):UmW  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } $4 )     'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ #NAMES OF REPORTING PERSONS:    NAVCO MANAGEMENT, LTD.   3 +I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS  (ENTITIES ONLY):~  0(CHECK THE APPROPRIATE BOX IF A MEMBER OF#A GROUP (SEE INSTRUCTIONS): (a) o (b) x~  SEC USE ONLY:~ +#SOURCE OF FUNDS (SEE INSTRUCTIONS): OO~ 0(CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS3+IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e): oDl0$ y6iL/kQ9 !"#$%&'(  ~ !-!%CITIZENSHIP OR PLACE OF ORGANIZATION:""##Bermuda$%$&____________________________1')Created by Morningstar Document Research.0((http://documentresearch.morningstar.com/rfZ2=PF0*8X> @((''&& l  a  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } }       'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu ~  SOLE VOTING POWER:     ~      NUMBER OF~ " SHARED VOTING POWER:SHARESOWNED BY~ v EACHPERSON~ &SOLE DISPOSITIVE POWER: WITH~ ~ *!SHARED DISPOSITIVE POWER:~ v$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/>00$ fB<gA5)=PF0*8X> @ l   k  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } $} y<      'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ .. &AGGREGATE AMOUNT BENEFICIALLY OWNED BY  EACH REPORTING PERSON:   ~ v  ~ 2:2CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES*"CERTAIN SHARES (SEE INSTRUCTIONS): o~ 6.&PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):3.6% 1~ :4,TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): CO$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/Dl0$ nT @ l  )hvx  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } $4 )     'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ #NAMES OF REPORTING PERSONS:    PATH SPIRIT LIMITED   3 +I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS  (ENTITIES ONLY):~  0(CHECK THE APPROPRIATE BOX IF A MEMBER OF#A GROUP (SEE INSTRUCTIONS): (a) o (b) x~  SEC USE ONLY:~ +#SOURCE OF FUNDS (SEE INSTRUCTIONS): OO~ 0(CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS3+IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e): oDl0$ |9lO2nT< !"#$%&'(  ~ !-!%CITIZENSHIP OR PLACE OF ORGANIZATION:""##England$%$&____________________________1')Created by Morningstar Document Research.0((http://documentresearch.morningstar.com/rfZ2=PF0*8X> @((''&& l    dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (11)!Note Schedules filed in pa (12)U } } }       'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu ~  SOLE VOTING POWER:     ~      NUMBER OF~ " SHARED VOTING POWER:SHARESOWNED BY~ v EACHPERSON~ &SOLE DISPOSITIVE POWER: WITH~ ~ *!SHARED DISPOSITIVE POWER:~ v$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/>00$ fB<gA5)=PF0*8X> @ l     dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (12)U } $} y<      'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu~ .. &AGGREGATE AMOUNT BENEFICIALLY OWNED BY  EACH REPORTING PERSON:   ~ v  ~ 2:2CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES*"CERTAIN SHARES (SEE INSTRUCTIONS): ?~ 6.&PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):3.6% 1~ :4,TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): OO$____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/Dl0$ nT @ l  8  dMbP?_*+%,&٭e2?'٭e2?(٭e2?)٭e2?",D/?? !Note Schedules filed in paper f!Note Schedules filed in pap (1)!Note Schedules filed in pap (2)!Note Schedules filed in pap (3)!Note Schedules filed in pap (4)!Note Schedules filed in pap (5)!Note Schedules filed in pap (6)!Note Schedules filed in pap (7)!Note Schedules filed in pap (8)!Note Schedules filed in pap (9)!Note Schedules filed in pa (10)!Note Schedules filed in pa (11)U } <}  }       'Horizon Technology Finance CorpSC 13D/A 05/17/2018kcNote: Schedules filed in paper format shall include a signed original and five copies of the schedu Date PriceShares  May 3, 2018 $(~ $@~   May 4, 2018 N@a$@~ ^V  May 7, 2018 $@~   May 8, 2018 EGr $@~   May 10, 2018  q+$@~  May 11, 2018sk$@~  May 14, 2018kwc$@~  May 15, 2018nr$@~  May 16, 20189EGr/$@~ ($____________________________1)Created by Morningstar Document Research.0(http://documentresearch.morningstar.com/20$ k4U=PF0*8X> @ Root Entry FBook  ǖ  !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJK