UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the 

Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): June 28, 2013

 

HORIZON TECHNOLOGY FINANCE

CORPORATION

(Exact name of registrant as specified in its charter)

 

         
Delaware   814-00802   27-2114934

(State or other jurisdiction

of incorporation)

  (Commission File Number)   (I.R.S. Employer Identification No.)

 

 

312 Farmington Avenue

Farmington, CT 06032

(Address of principal executive offices and zip code)

 

Registrant’s telephone number, including area code: (860) 676-8654

 

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

¨   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
     
¨   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
     
¨   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
     
¨   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 
 

 

Section 5 Corporate Governance and Management
Item 5.07 Submission of Matters to a Vote of Security Holders.

 

On June 28, 2013, Horizon Technology Finance Corporation (the “Company”) reconvened and held a special meeting of stockholders originally convened and adjourned on June 14, 2013 (the “Special Meeting”). At the Special Meeting, the Company’s stockholders considered a proposal to authorize the Company, with the approval of the Board of Directors, to sell shares of its common stock during the next 12 months, at a price below its then current net asset value per share, in one or more offerings, subject to certain conditions as set forth in the proxy statement. The proposal is described in detail in the Company’s definitive proxy statement for the Special Meeting as filed with the Securities and Exchange Commission on May 2, 2013. As of April 16, 2013, the record date for the Special Meeting, 9,578,312 shares of common stock were eligible to vote. The Company’s stockholders approved the proposal pursuant to the voting results set forth below:

 

   For   Against   Abstain 
All Votes Cast   4,558,160    866,365    155,571 
                
All Votes Cast Excluding Votes Cast by Affiliates   3,218,699    866,365    155,571 

 

 

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SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: June 28, 2013

HORIZON TECHNOLOGY FINANCE CORPORATION

   
 

By:

/s/ Robert D. Pomeroy, Jr.

    Robert D. Pomeroy, Jr.
   

Chief Executive Officer and

Chairman of the Board

 

 

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