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 9, 2016

 

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

 

Annual Meeting Results

 

On June 9, 2016, Horizon Technology Finance Corporation (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”). At the Annual Meeting, the Company’s stockholders approved two proposals. The proposals are described in detail in the Company’s definitive proxy statement for the Annual Meeting as filed with the Securities and Exchange Commission on April 22, 2016. As of April 15, 2016, the record date for the Annual Meeting, 11,542,430 shares of common stock were eligible to vote.

 

Proposal 1.  The Company’s stockholders elected two Class III directors of the Company, each of whom will serve until the 2019 Annual Meeting, or until his successor is duly elected and qualified or until his earlier resignation, removal from office, death or incapacity.  The two directors were elected pursuant to the voting results set forth below:

 

     For   Withheld  

Broker

Non-Votes

Robert D. Pomeroy, Jr.    4,431,188   115,484   5,310,026
Joseph J. Savage    4,418,039   128,633   5,310,026

 

Proposal 2. The Company’s stockholders ratified the selection of RSM US LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2016, as set forth below:

 

    For   Against   Abstain
    9,663,698   109,082   83,918

 

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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 9, 2016

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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