Horizon Technology Finance (HRZN) investors approve directors and 2026 Grant Thornton audit

Filing Impact

(Moderate)

Filing Sentiment

(Neutral)

Form Type

8-K

Rhea-AI Filing Summary

Horizon Technology Finance Corporation reported the results of its annual stockholder meeting. Stockholders elected two Class I directors, Kimberley A. O’Connor and Thomas J. Allison, to serve until the 2029 annual meeting. O’Connor received 13,760,758 votes for and 3,450,722 withheld, while Allison received 14,572,710 for and 2,638,770 withheld, with 25,143,830 broker non-votes for each nominee. As of the April 27, 2026 record date, 68,261,111 common shares were eligible to vote. Stockholders also ratified the selection of Grant Thornton LLP as independent registered public accounting firm for the fiscal year ending December 31, 2026, with 38,701,672 votes for, 2,326,097 against, and 1,327,541 withheld.

8-K Event Classification

Item 5.07 — Submission of Matters to a Vote of Security Holders

1 item

Item 5.07 Submission of Matters to a Vote of Security Holders Governance

Results of a shareholder vote on proposals at an annual or special meeting.

Key Figures

Shares eligible to vote: 68,261,111 shares Votes for O’Connor: 13,760,758 votes Votes for Allison: 14,572,710 votes +4 more

7 metrics

Shares eligible to vote 68,261,111 shares Common stock eligible as of April 27, 2026 record date

Votes for O’Connor 13,760,758 votes Election of Class I director Kimberley A. O’Connor

Votes for Allison 14,572,710 votes Election of Class I director Thomas J. Allison

Broker non-votes (directors) 25,143,830 votes Broker non-votes for each director nominee

Auditor ratification – For 38,701,672 votes Ratification of Grant Thornton LLP for FY ending Dec. 31, 2026

Auditor ratification – Against 2,326,097 votes Votes against Grant Thornton LLP ratification

Auditor ratification – Withheld 1,327,541 votes Votes withheld on Grant Thornton LLP ratification

Key Terms

broker non-votes, independent registered public accounting firm, record date, annual meeting of stockholders

4 terms

broker non-votes financial

"Kimberley A. O’Connor | 13,760,758 | 3,450,722 | 25,143,830"

Broker non-votes occur when a brokerage firm is unable to vote on a shareholder’s behalf during a company election or decision because the shareholder has not given specific voting instructions, and the broker is not allowed or chooses not to vote on certain matters. They are important because they can affect the outcome of votes, especially when the results are close, by effectively reducing the total number of votes cast.

independent registered public accounting firm financial

"ratified the selection of Grant Thornton LLP to serve as the Company's independent registered public accounting firm"

An independent registered public accounting firm is an outside accounting company officially registered with the government regulator to examine and report on a public company's financial records and controls. Investors treat its reports like an impartial inspector’s certificate — they add credibility to financial statements, help spot errors or misleading claims, and reduce the risk that shareholders are relying on unchecked or biased numbers.

record date financial

"As of April 27, 2026, the record date for the Annual Meeting, 68,261,111 shares"

The record date is the specific day when a company determines which shareholders are eligible to receive a dividend or participate in an upcoming vote. It’s like a cutoff date; if you own the stock on that day, you get the benefits or voting rights. This date matters because it decides who qualifies for certain company benefits.

annual meeting of stockholders financial

"held its annual meeting of stockholders (the “Annual Meeting”)"

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Understanding 8-K Material Events →

Available on EDGAR 06/26/2026 - 04:35 PM Accepted by SEC EDGAR 06/26/2026 - 04:35 PM

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 26, 2026

HORIZON TECHNOLOGY FINANCE CORPORATION

(Exact name of registrant as specified in its charter)

Delaware		814-00802		27-2114934
(State or other jurisdiction of incorporation)		(Commission File Number)		(I.R.S. Employer Identification No.)

312 Farmington Avenue

Farmington, CT 06032

(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:

☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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

Title of each class	Ticker Symbol(s)	Name of each exchange on which registered
Common Stock, par value $0.001 per share	HRZN	The Nasdaq Stock Market LLC
6.25% Notes due 2027	HTFC	The New York Stock Exchange

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. ☐

Section 5	Corporate Governance and Management
Item 5.07	Submission of Matters to a Vote of Security Holders

Annual Meeting Results

On June 26, 2026, Horizon Technology Finance Corporation (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). At the Annual Meeting, the Company’s stockholders approved two proposals. The proposals are described in detail in the Company’s definitive proxy statement for the Annual Meeting as filed with the Securities and Exchange Commission on May 14, 2026. As of April 27, 2026, the record date for the Annual Meeting, 68,261,111 shares of the Company’s common stock were eligible to vote.

Proposal 1: The Company’s stockholders elected two Class I directors of the Company, each of whom will serve until the 2029 annual meeting of stockholders, or until his or her successor is duly elected and qualified or until his or her earlier resignation, removal from office, death or incapacity. The following votes were taken in connection with this proposal:

Name	For	Withheld	Broker Non-Votes
Kimberley A. O’Connor	13,760,758	3,450,722	25,143,830
Thomas J. Allison	14,572,710	2,638,770	25,143,830

Proposal 2: The Company's stockholders ratified the selection of Grant Thornton LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2026. The following votes were taken in connection with this proposal:

For	Against	Withheld	Broker Non-Votes
38,701,672	2,326,097	1,327,541	---

SIGNATURE

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.

Date: June 26, 2026	HORIZON TECHNOLOGY FINANCE CORPORATION


	By:	/s/ Michael P. Balkin
		Michael P. Balkin
		Chief Executive Officer

Source: View Original Filing on SEC EDGAR

FAQ

What did Horizon Technology Finance (HRZN) stockholders approve at the 2026 annual meeting?

Stockholders approved two proposals: electing two Class I directors and ratifying Grant Thornton LLP as independent registered public accounting firm for 2026. Both items received sufficient votes for approval.

Who was elected to Horizon Technology Finance’s (HRZN) board in 2026?

Kimberley A. O’Connor and Thomas J. Allison were elected as Class I directors. They will serve until the 2029 annual meeting, or until successors are elected or they leave office earlier.

How many Horizon Technology Finance (HRZN) shares were eligible to vote at the 2026 annual meeting?

As of April 27, 2026, 68,261,111 shares of Horizon Technology Finance common stock were eligible to vote at the annual meeting. This figure represents the company’s voting base for the proposals.

What were the vote results for Horizon Technology Finance (HRZN) director elections in 2026?

Kimberley A. O’Connor received 13,760,758 votes for and 3,450,722 withheld. Thomas J. Allison received 14,572,710 for and 2,638,770 withheld, each with 25,143,830 broker non-votes recorded.

Which audit firm did Horizon Technology Finance (HRZN) stockholders ratify for fiscal 2026?

Stockholders ratified Grant Thornton LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2026. The vote was 38,701,672 for, 2,326,097 against, and 1,327,541 withheld.

Filing Exhibits & Attachments

4 documents