[Form 3] Horizon Technology Finance Corporation Initial Statement of Beneficial Ownership

Rhea-AI Filing Summary

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.

Insights

Corporate Governance Expert

TL;DR: Routine insider Form 3; CIO reports 600 direct HRZN shares, no derivatives—administrative, low market impact.

Section 16(a) requires a Form 3 within ten days of becoming an officer. This filing simply records Mr. Seitz’s starting position. With only 600 shares and no convertible or option holdings, the disclosure does not alter insider ownership dynamics or signal a strategic stance. Investors should watch subsequent Form 4 filings for any meaningful insider buying or selling.

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

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1. Name and Address of Reporting Person^*

Seitz Paul G

(Last) (First) (Middle)

312 FARMINGTON AVENUE

(Street)

FARMINGTON CT 06032

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
06/05/2025

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

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

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

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

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)
Common Stock	600	D

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:

	/s/ Paul G. Seitz	06/26/2025
	** 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.

FAQ

Who filed the Form 3 for Horizon Technology Finance (HRZN)?

Paul G. Seitz, the company’s Chief Investment Officer.

How many HRZN common shares does Paul G. Seitz report owning?

He reports 600 shares held directly.

Were any derivative securities disclosed in this Form 3?

No, no derivative securities were listed.

What is the event date that triggered this Form 3 filing?

The reportable event occurred on 06/05/2025.

Does the filing indicate any purchase or sale transactions?

No; it is an initial ownership statement with no transaction activity.