Filing Details
- Accession Number:
- 0001144204-14-016074
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-03-17 15:38:38
- Reporting Period:
- 2014-03-17
- Filing Date:
- 2014-03-17
- Accepted Time:
- 2014-03-17 15:38:38
- 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 | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1503748 | Jr. D. Robert Pomeroy | 312 Farmington Avenue Farmington CT US 06032 | Chief Executive Officer | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-03-17 | 1,500 | $12.86 | 12,320 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 52,641 | Indirect | By HTF-CHF Holdings LLC |
| Common Stock | 486 | Indirect | As custodian for grandchild |
Footnotes
- The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The reported securities are owned directly by HTF-CHF Holdings LLC of which Reporting Person owns 33%.
- The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.855 to $12.8574, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.
Billionaire Hedge Funds
