SEC Form 4 · accession 0001638599-17-001166
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 28, 2017
Accepted (ET)
Nov 28, 2017 · 3:07 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 Stock | Nov 28, 2017 | P | 400 | $11.0692 | A | 70,680 | D | |
| Common Stock | Nov 28, 2017 | P | 400 | $11.0776 | A | 1,868 | I | As custodian for grandchildren |
Table II — derivative securities
No Table II lines on this filing.