SEC Form 4 · accession 0001144204-15-063814
Horizon Technology Finance Corp · HRZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert D. Pomeroy Jr.
Officer — Chief Executive Officer · Director
Period of report
Nov 9, 2015
Accepted (ET)
Nov 9, 2015 · 4:38 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001487428
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 9, 2015 | P | 5,000 | $10.86 | A | 48,187 | D | |
| Common Stock | holding | — | — | — | 963 | I | As custodian for grandchildren |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.85 to $10.87, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.