What SEC filings does Horizon Technology Finance Corporation submit to the SEC?

Horizon Technology Finance Corporation (HRZN) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about HRZN?

A Form 4 for HRZN discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Horizon Technology Finance Corporation?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for HRZN?

The 10-K is Horizon Technology Finance Corporation's annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all HRZN SEC filings directly on EDGAR?

You can view all historical Horizon Technology Finance Corporation filings on the SEC EDGAR company page for HRZN. Each filing card on this page links directly to the original SEC document.

How often does Horizon Technology Finance Corporation file with the SEC?

Horizon Technology Finance Corporation files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling HRZN shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

HRZN SEC Filing News — Horizon Technology Finance Corporation

Latest SEC filings for Horizon Technology Finance Corporation (HRZN) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-09.

Horizon Technology Finance Corporation is a business development company specializing in lending and and investing in development-stage investments. It focuses on making secured debt and venture lending investments to venture capital backed companies in the technology, life science, healthcare information and services, cleantech and sustainability industries. It seeks to invest in companies in the United States.

Sector: Financial Services Industry: Asset Management Market Cap: $275.5M CIK: 1487428

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for HRZN currently lean bullish. Of the 20 displayed SEC filing records, 6 carry bullish classifications versus 0 bearish classifications. These labels summarize filing attributes; they are not recommendations, probabilities, or evidence of future price direction. There were 9 insider transactions (Form 4) in this period.

HRZN Filing Activity Snapshot 2026-04-14 — 2026-09-09

Insider Transactions (Form 4)

6 buys vs 0 sells

Net insider buying in this period — more purchases than sales reported.

Largest Form 144 Filing

$434.0K

Balkin Michael (Director, Chief Executive Officer) · 2026-06-10

100,000 shares · Form 4

Insider Transactions 9 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 9 filings in this group are Form 4s for Horizon Technology Finance Corporation.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 9 insider filings shown, the breakdown is 6 open-market purchase and 3 compensation award. 6 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market purchase ×6: The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.
Compensation award ×3: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Form 4 Open-market purchase Insider Buying 2026-06-11

HRZN insider O'Connor Kimberley Ann (Director) bought 10,000 shares (~$43.7K)

O'Connor Kimberley Ann, listed as Director at Horizon Technology Finance Corp, reported an open-market purchase of 10,000 HRZN shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	10,000	$4.37	$43.7K

Filing: Form 4 (Insider Transaction) Insider: O'Connor Kimberley Ann (Director) Shares: 10,000 Est. Value: $43.7K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-06-10

HRZN insider Goodman Jonathan Joseph (Director) bought 6,000 shares (~$25.9K)

Goodman Jonathan Joseph, listed as Director at Horizon Technology Finance Corp, reported an open-market purchase of 6,000 HRZN shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	6,000	$4.33	$25.9K

Filing: Form 4 (Insider Transaction) Insider: Goodman Jonathan Joseph (Director) Shares: 6,000 Est. Value: $25.9K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-06-10

HRZN insider Trolio Daniel R. (Executive VP and CFO) bought 11,500 shares (~$49.9K)

Trolio Daniel R., listed as Executive VP and CFO at Horizon Technology Finance Corp, reported an open-market purchase of 11,500 HRZN shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	11,500	$4.34	$49.9K

Filing: Form 4 (Insider Transaction) Insider: Trolio Daniel R. (Executive VP and CFO) Shares: 11,500 Est. Value: $49.9K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-06-10

HRZN insider Seitz Paul G (Chief Investment Officer) bought 11,477 shares (~$49.9K)

Seitz Paul G, listed as Chief Investment Officer at Horizon Technology Finance Corp, reported an open-market purchase of 11,477 HRZN shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	11,477	$4.35	$49.9K

Filing: Form 4 (Insider Transaction) Insider: Seitz Paul G (Chief Investment Officer) Shares: 11,477 Est. Value: $49.9K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-06-10

HRZN insider ALLISON THOMAS J. (Director) bought 6,000 shares (~$26.2K)

ALLISON THOMAS J., listed as Director at Horizon Technology Finance Corp, reported an open-market purchase of 6,000 HRZN shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`P`	Open-market purchase	6,000	$4.36	$26.2K

Filing: Form 4 (Insider Transaction) Insider: ALLISON THOMAS J. (Director) Shares: 6,000 Est. Value: $26.2K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market purchase Insider Buying 2026-06-10

HRZN insider Balkin Michael (Director, Chief Executive Officer) bought 100,000 shares (~$434.0K)

Balkin Michael, listed as Director, Chief Executive Officer at Horizon Technology Finance Corp, reported an open-market purchase of 100,000 HRZN shares in a Form 4 filing. Insider buying is often treated as a bullish signal because company insiders are committing their own capital.

The insider bought shares on the open market with their own money. This is the only Form 4 category that requires a discretionary cash outlay at the prevailing price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	93,527	—	—
`P`	Open-market purchase	100,000	$4.34	$434.0K

Filing: Form 4 (Insider Transaction) Insider: Balkin Michael (Director, Chief Executive Officer) Shares: 100,000 Est. Value: $434.0K

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-04-14

HRZN insider Form 4 filed for equity award, exercise, or tax withholding

ALLISON THOMAS J. (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	49,926	—	—

Filing: Form 4 (Insider Transaction) Insider: ALLISON THOMAS J. (Director) Shares: 49,926

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-04-14

HRZN insider Form 4 filed for equity award, exercise, or tax withholding

Seitz Paul G (Chief Investment Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	142	—	—

Filing: Form 4 (Insider Transaction) Insider: Seitz Paul G (Chief Investment Officer) Shares: 142

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-04-14

HRZN insider Form 4 filed for equity award, exercise, or tax withholding

Balkin Michael (Director, Chief Executive Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	93,527	—	—

Filing: Form 4 (Insider Transaction) Insider: Balkin Michael (Director, Chief Executive Officer) Shares: 93,527

View on SEC EDGAR → Open Filing Document →

Material Events 8 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 8 in this period for Horizon Technology Finance Corporation. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-09