Every Form 4 that Horizon Technology Finance Corporation 6.25% Notes due 2027 (HTFC) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow HTFC and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full HTFC filings page.
Horizon Technology Finance Corp director Thomas J. Allison filed an amended Form 4 after an open-market purchase of Common Stock. He bought 6,000 shares on June 9, 2026 at $4.36 per share and now beneficially owns 56,617 shares.
The amendment corrects a previously reported post-transaction holding of 55,926 shares, which had omitted shares acquired through the company’s dividend reinvestment plan. The corrected figure now includes those reinvested dividend shares.
Horizon Technology Finance Corp director O'Connor Kimberley Ann bought shares in the company. On June 9, 2026, she made an open-market purchase of 10,000 shares of Common Stock at an average price of $4.3699 per share. Following this transaction, she directly owned 10,000 shares.
Horizon Technology Finance Corp director Jonathan Joseph Goodman reported an open-market purchase of company stock. Acting as trustee for the Jonathan J. Goodman Revocable Trust, he bought 6,000 shares of common stock at $4.325 per share. Following this transaction, the trust’s indirect holdings in Horizon Technology Finance Corp increased to 8,312 shares.
Horizon Technology Finance Corp Executive VP and CFO Daniel R. Trolio reported an open-market purchase of Common Stock. He bought 11,500 shares at a price of $4.34 per share, bringing his directly held stake to 15,023 shares after the transaction.
Horizon Technology Finance Corp Chief Investment Officer Paul G. Seitz reported an open-market purchase of Common Stock. He bought 11,477 shares at $4.35 per share and now directly holds 12,242 shares. This filing reflects a relatively small insider share increase.
Horizon Technology Finance Corp director Thomas J. Allison made an open-market purchase of Common Stock. On June 9, 2026, he bought 6,000 shares at $4.36 per share. After this transaction, he directly owns 55,926 shares of Horizon’s common stock.
Horizon Technology Finance Corp CEO Michael Balkin reported significant changes in his shareholdings. On April 14, 2026, he acquired 93,527 shares of common stock as a grant/award acquisition, linked to the completion of a merger in which Monroe Capital Corporation stock was converted into Horizon shares at a 0.9402-to-1 ratio and a reference market price of $4.57 per share.
On June 9, 2026, Balkin made an open-market purchase of 100,000 shares of Horizon common stock at $4.34 per share, bringing his direct holdings to 223,527 shares. He also reports 20,000 shares held indirectly through the Michael P. Balkin Revocable Trust.
Horizon Technology Finance Corp director ALLISON THOMAS J. acquired 49,926 shares of common stock as part of the completion of a merger with Monroe Capital Corporation. The shares were received at no cash cost in a grant/award-type acquisition.
Under the Merger Agreement, each share of Monroe Capital Corporation common stock was converted into the right to receive 0.9402 shares of Horizon Technology Finance Corp common stock. Following this merger-related issuance, Allison directly holds 49,926 Horizon common shares.
Horizon Technology Finance Corp Chief Investment Officer Paul G. Seitz acquired 142 shares of common stock, coded as a grant or award, at a price of $0.00 per share. This brought his direct holdings to 742 shares. The shares were received pursuant to the completion of a merger covered by an Agreement and Plan of Merger dated August 7, 2025, under which each Monroe Capital Corporation common share converted into the right to receive 0.9402 Horizon Technology Finance Corp common shares. The market price of Horizon Technology Finance Corp common stock at the close of trading on April 13, 2026, the last trading day before the merger closed, was $4.57.
Horizon Technology Finance Corp director and Chief Executive Officer Michael Balkin reported an acquisition of common stock tied to the completion of a merger. He received 93,527 shares of Horizon common stock at no cash cost, described as a grant or award acquisition.
Following this transaction, Balkin directly holds 103,527 shares of Horizon common stock. In addition, he has an indirect holding of 20,000 shares through a revocable trust for which he serves as trustee.
According to the merger agreement, each share of Monroe Capital Corporation common stock was converted into the right to receive 0.9402 shares of Horizon common stock, based on a market price of $4.57 per Horizon share on the trading day before the merger closed.