Welcome to our dedicated page for Horizon Techn SEC filings (Ticker: HRZN), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Venture-lending balance sheets, warrant gains and monthly dividend math make Horizon Technology Finance’s SEC documents tough to navigate. If you have ever searched line-by-line for portfolio risk ratings or wondered how a single prepayment reshapes net investment income, you know the challenge.
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Horizon Technology Finance Corporation entered a definitive Merger Agreement on August 7, 2025, to combine with Monroe Capital Corporation (MRCC) and separately agreed an Asset Purchase Agreement under which Monroe Capital Income Plus Corporation (MCIP) would acquire MRCC's investment assets and liabilities for cash. The transactions are structured so the Asset Sale will close immediately prior to the Merger and have been approved by the boards of both companies, including independent directors.
The filing states that, based on June 30, 2025 net asset values, HRZN would receive approximately $165 million in net cash proceeds and would issue roughly 24.6 million shares, producing a pro forma ownership split of 63.1% for current HRZN holders and 36.9% for MRCC holders. The agreements are subject to customary closing conditions, including stockholder approvals, and the company highlights termination, dilution, indemnification obligations and market-price variability as material risks.
Horizon Technology Finance Corporation (HRZN) entered into a Merger Agreement to combine Monroe Capital Corporation (MRCC) into HRZN through a two-step merger structure. At the Effective Time Merger Sub will merge into MRCC and MRCC will then merge into HRZN. The exchange will use an Exchange Ratio calculated from each party's per-share net asset value (NAV) as of a Determination Date no earlier than 48 hours prior to closing; fractional shares will not be issued and cash will be paid in lieu.
The boards of both companies, including independent directors and special committees, approved the agreement. Closing is expected in the fourth quarter of 2025 and is conditioned on stockholder approvals, effectiveness of HRZN's registration statement, required regulatory clearances including HSR, absence of legal impediments, accuracy of reps and covenants, and completion of a related Asset Sale. HRZN Advisor agreed to a $4.0 million fee waiver payable as $1.0 million per quarter for four quarters after closing, subject to a cap tied to fees earned. The agreement includes termination deadlines and potential termination fees (about $11.0 million and $5.4 million in specified scenarios). The transaction is structured to comply with Rule 17a-8 and is intended to qualify as a Section 368(a) reorganization.
The SEC Form 3 filed on 06/26/2025 discloses that Paul G. Seitz, newly listed as Chief Investment Officer of Horizon Technology Finance Corporation (NASDAQ: HRZN), directly owns 600 shares of the company’s common stock as of the reportable event on 06/05/2025. No derivative securities, options, or other instruments are listed.
This filing is a routine, compliance-driven disclosure under Section 16(a) that establishes Mr. Seitz’s initial beneficial ownership baseline. Because the share count is modest and there are no transactions or complex instruments involved, the document carries limited financial or strategic implications for shareholders, but it does enhance transparency around insider equity alignment.
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