Home > Insider Trading > Filing (0001144204-10-057740)

Filing Details

Accession Number:: 0001144204-10-057740
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2010-11-04 20:23:23
Reporting Period:: 2010-11-03

Filing Date:: 2010-11-04
Accepted Time:: 2010-11-04 20:23:23
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1487428	Horizon Technology Finance Corp	HRZN	()	272114934

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1334202	Ltd. Investments Anholt	69 Pitts Bay Road Belvedere Building, 4Th Floor Hamilton D0 HM08	No	No	Yes	No
1362549	Navco Management, Inc.	69 Pitts Bay Road Belvedere Building, 4Th Floor Hamilton D0 HM08	No	No	Yes	No
1431113	Ltd Spirit Path	69 Pitts Bay Road Belvedere Building, 4Th Floor Hamilton D0 HM08	No	No	Yes	No
1504157	Compass Horizon Partners, Lp	69 Pitts Bay Road Belevdere Building, 4Th Floor Hamilton D0 HM08	No	No	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2010-11-03	1,340,000	$16.00	1,258,249	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct

Footnotes

Pursuant to an underwriting agreement dated October 28, 2010. and entered into in connection with the initial public offering of common stock, par value $0.001 per share (the "Common Stock") of Horizon Technology Finance Corporation (the "Company") by the Company and its selling stockholder pursuant to the final prospectus filed by the Company on October 29, 2010, which offering was consummated on November 3, 2010, Compass Horizon Partners, LP, as selling stockholder, sold 1,340,000 shares of Common Stock.
1. The shares of common stock are owned directly by Compass Horizon Partners, LP, which is owned by Concorde Horizon Holdings LP and Navco Management, Ltd. Concorde Horizon Holdings LP is owned by Anholt Investments Ltd. (formerly known as Compass Group Investments, Ltd.) and Navco Management, Ltd. Anholt Investments Ltd. and Navco Management, Ltd. are wholly owned by Kattegat Limited, a Bermudian exempt company with its principal offices at Belvedere Building, 69 Pitts Bay Road, Pembroke HM 08, Bermuda. Kattegat Limited was formed for the purpose of holding and managing the endowed assets of The Kattegat Trust and is wholly owned by The Kattegat Trust. The Kattegat Trust is a Bermudian charitable trust, engaged in the principal business of distributing income for charitable purposes, with its principal offices at 2 Reid Street, Hamilton HM 11, Bermuda. [cont FN3]
[cont from FN2] The trustee of The Kattegat Trust is Kattegat Private Trustees (Bermuda) Limited (the "Trustee"), a Bermudian trust company with its principal offices at 2 Reid Street, Hamilton HM 11, Bermuda. Path Spirit Limited is the trust protector for The Kattegat Trust. The Trustee is wholly owned by The Lund Purpose Trust, a Bermudian purpose trust with its principal offices at Thistle House, 4 Burnaby Street, Hamilton HM 11, Bermuda, formed for the sole purpose of holding the shares of the Trustee. Anholt Investments Ltd., Navco Management, Ltd., Path Spirit Limited, Concorde Horizon Holdings LP and Compass Horizon Partners, LP disclaim beneficial ownership of the shares of common stock, except to the extent of their pecuniary interest therein.