Horizon Technology Finance Corporation filed SEC Form 8-K: Submission of Matters to a Vote of Security Holders

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(Exact name of registrant as specified in its charter)

 

 

 

(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:

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

 

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. ☐

 

 

 

 

On March 13, 2026, Horizon Technology Finance Corporation (the “Company”) held a special meeting of stockholders (the “Special Meeting”). At the Special Meeting, the Company’s stockholders approved two proposals as set forth below. The proposals are described in detail in the Company’s definitive proxy statement/prospectus for the Special Meeting, as filed with the Securities and Exchange Commission on January 20, 2026 (the “Proxy Statement”). As of January 15, 2026, the record date for the Special Meeting, 46,316,648 shares of the Company’s common stock were outstanding and eligible to vote. There were no broker non-votes at the Special Meeting.

 

Proposal 1: The Company’s stockholders approved the issuance of shares of the Company’s common stock, par value $0.001 per share, pursuant to the Merger Agreement, as defined in the Proxy Statement. The final voting results from the Special Meeting on this proposal were as follows:

 

 

 

 

Proposal 2: The Company’s stockholders elected one Class I director of the Company, who will serve until the Company’s 2026 annual meeting of stockholders or until his successor is duly elected and qualified; provided, however, that such appointment is contingent upon the closing of the Merger (as defined in the Proxy Statement). The final voting results from the Special Meeting on this proposal were as follows:

 

 

 

 

 

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.