Horizon Technology Finance director files Form 3

Horizon Technology Finance Corp filed a Form 3 for director Allison Thomas J., identifying this person as a reporting insider of the company.

Accepted by SEC EDGAR 04/14/2026 - 07:16 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Horizon Technology Finance Corp filed a Form 3 for director Allison Thomas J., identifying this person as a reporting insider of the company. The excerpt does not show any share transactions or derivative positions, indicating this is a status and initial ownership reporting filing.

Key Terms

Form 3, reportingPersons, derivativeTransactionCount

3 terms

Form 3 regulatory

"INSIDER FILING DATA (Form 3):"

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

reportingPersons regulatory

""reportingPersons": [ { "name": "ALLISON THOMAS J.""

derivativeTransactionCount financial

""derivativeTransactionCount": 0"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Horizon Technology Finance (HRZN) Form 3 for Allison Thomas J. show?

The Form 3 identifies Allison Thomas J. as a director and reporting person at Horizon Technology Finance Corp. In this excerpt, no specific share transactions or derivative positions are listed, emphasizing insider status rather than trading activity.

Are any Horizon Technology Finance (HRZN) share trades disclosed in this Form 3 excerpt?

No share trades are disclosed in this Form 3 excerpt. The transaction list is empty and transaction summary counts for buys, sells, exercises, gifts, and other actions are all zero, indicating no reported trading activity in this filing segment.

Does the Horizon Technology Finance (HRZN) Form 3 show derivative securities for Allison Thomas J.?

The excerpt shows no derivative securities for Allison Thomas J. The derivative summary is empty and derivative transaction counts are zero, suggesting no options, warrants, or other derivative positions are reported in this segment of the filing.

What insider role does Allison Thomas J. hold at Horizon Technology Finance (HRZN)?

Allison Thomas J. is listed as a director of Horizon Technology Finance Corp. The reporting-person data flags director status, while officer and ten-percent-owner indicators are not marked, focusing this filing on board-level insider reporting.

Does this Horizon Technology Finance (HRZN) Form 3 mention Rule 10b5-1 trading plans?

The provided Form 3 excerpt does not include any text about Rule 10b5-1 trading plans. Footnotes are effectively empty, so there is no indication here that any trades, if later reported, were executed under a pre-arranged trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

ALLISON THOMAS J.

(Last) (First) (Middle)

312 FARMINGTON AVENUE

(Street)

FARMINGTON CONNECTICUT 06032

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
04/14/2026

3. Issuer Name and Ticker or Trading Symbol
Horizon Technology Finance Corp [ HRZN ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

No securities are beneficially owned.

	/s/ Thomas J. Allison	04/14/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)