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.
The Horizon Technology Finance Corporation (HRZN) SEC filings page provides direct access to the company’s regulatory disclosures as a publicly traded business development company. Through its filings with the U.S. Securities and Exchange Commission, Horizon reports on its secured lending activities, capital structure, risk factors and significant corporate events affecting HRZN stock and its public debt securities.
Investors can use this page to review current reports on Form 8-K, where Horizon discloses material events such as new note offerings, convertible note issuances, amendments to credit facilities, dividend declarations and entry into merger agreements. Recent 8-K filings describe, for example, the issuance of 7.00% Notes due 2028 under a Fifth Supplemental Indenture, the sale of 5.50% convertible notes due 2030, and the Agreement and Plan of Merger under which Monroe Capital Corporation would merge with and into Horizon, subject to approvals and closing conditions.
Horizon’s filings also detail the terms and ranking of its public notes and convertible notes, including 4.875% Notes due 2026 (HTFB), 6.25% Notes due 2027 (HTFC), 7.00% Notes due 2028, 5.50% convertible notes due 2030 and 7.125% convertible notes due 2031. These documents outline interest rates, maturities, redemption provisions, conversion mechanics and covenants tied to asset coverage and other requirements under the Investment Company Act of 1940.
In addition to event-driven reports, Horizon files periodic reports that include financial statements, portfolio schedules, leverage and asset coverage information, and detailed risk factor discussions. These filings explain how the company manages its secured loan portfolio, warrant and equity positions, liquidity resources and distribution practices, including its Dividend Reinvestment Plan.
On Stock Titan, HRZN filings are updated as they are released on EDGAR, and AI-powered tools can help summarize key terms, highlight changes from prior filings and surface important items such as new debt issuances, merger-related disclosures and distribution announcements. This makes it easier to interpret complex documents like indentures, note purchase agreements and merger agreements without reading every page line by line.
Horizon Technology Finance Corporation sold $40,000,000 aggregate principal of 5.50% Convertible Notes due 2030 under an effective shelf, receiving approximately $36.6 million in net proceeds before expenses. Interest is 5.50% per annum, payable monthly beginning September 30, 2025. The notes mature September 4, 2030 and are unsecured obligations ranking pari passu with unsecured debt, junior to secured debt and structurally junior to subsidiary obligations. The company may redeem the notes at par on or after March 4, 2025. Holders may convert beginning October 4, 2025, with the conversion price equal to the greater of a five-day VWAP or the most recently reported net asset value per share; conversions are subject to a 4.99% aggregate ownership limit for certain adviser-related holders. The filing incorporates the Note Purchase Agreement as an exhibit.
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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