SEC Form 4 · accession 0001437749-26-020103
Horizon Technology Finance Corp · HRZN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael Balkin
Officer — Chief Executive Officer · Director
Period of report
Jun 9, 2026
Accepted (ET)
Jun 10, 2026 · 11:19 am EDT
Rule 10b5-1 plan
box not checked
Issuer CIK
0001487428
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Apr 14, 2026 | A | 93,527 | — | A | 103,527 | D | |
| Common Stock | Jun 9, 2026 | P | 100,000 | $4.34 | A | 223,527 | D | |
| Common Stock | holding | — | — | — | 20,000 | I | By Self as Trustee for Michael P. Balkin Revocable Trust dated 11/1/93 as Amended |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Acquired upon the completion of, and pursuant to, the transactions contemplated by the Agreement and Plan of Merger, dated as of August 7, 2025, by and among Horizon Technology Finance Corporation ("HRZN"), a Delaware corporation, Monroe Capital Corporation ("MRCC"), a Maryland corporation, HMMS, Inc., a Maryland corporation, Monroe Capital BDC Advisors, LLC, a Delaware limited liability company, and Horizon Technology Finance Management LLC, a Delaware limited liability company (the "Merger Agreement"). Pursuant to the Merger Agreement, each share of MRCC common stock, par value $0.001 per share, was converted into the right to receive 0.9402 shares of HRZN common stock, par value $0.001 per share. The market price of HRZN common stock at the close of trading on April 13, 2026, the last trading day prior to closing of the merger, was $4.57.