Washington, D.C. 20549






Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): October 31, 2017



(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))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).


Emerging growth company ¨


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨







Section 8   Other Events
Item 8.01   Other Events


On October 31, 2017, Horizon Technology Finance Corporation (the “Company”) announced that its Board of Directors has declared monthly dividends totaling $0.30 per share, payable in such amounts and on such dates to stockholders of record, as set forth below.


Ex-Dividend Date Record Date Payment Date Amount Per Share
December 19, 2017 December 20, 2017 January 17, 2018 $0.10
January 19, 2018 January 22, 2018 February 15, 2018 $0.10
February 20, 2018 February 21, 2018 March 15, 2018 $0.10
    Total: $0.30


A copy of the press release announcing such dividend is attached hereto as Exhibit 99.1 and is incorporated by reference herein.


Section 9   Financial Statements and Exhibits
Item 9.01   Financial Statements and Exhibits




99.1   Press release of the Company dated October 31, 2017.







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: October 31, 2017




/s/ Robert D. Pomeroy, Jr.

    Robert D. Pomeroy, Jr.  
    Chief Executive Officer  





Exhibit Index


Exhibit No.   Description
99.1   Press release of the Company dated October 31, 2017