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): January 18, 2017

 

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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

 

(c)Appointment of Certain Officers

 

Effective January 17, 2017, the Company has appointed Daniel R. Trolio, 43, as Senior Vice President and Chief Financial Officer. In September 2016, the Company had previously appointed Mr. Trolio as Vice President of Finance and Interim Chief Financial Officer. Mr. Trolio will serve in such positions until his successor is duly chosen and qualified or until his earlier resignation or removal. Set forth below is a description of the prior business experience of Mr. Trolio:

 

Prior to being appointed Vice President of Finance and Interim Chief Financial Officer, Mr. Trolio had served as the Company’s Vice President and Corporate Controller since 2010. Mr. Trolio has also held the same positions with Horizon Technology Finance Management LLC, the Company’s advisor, since 2006. Since 2010 Mr. Trolio has been responsible for supervision of all the Company’s accounting functions as well as tax and financial reporting. Mr. Trolio previously served as Senior Manager at a regional public accounting firm and held positions with KPMG LLP and Arthur Andersen LLP. Mr. Trolio earned a Bachelor of Science degree in accountancy, with honors, from Bentley University and a Master of Science degree in taxation from the University of Hartford. He is a Certified Public Accountant, chartered in the State of Connecticut.

 

Section 9

Item 9.01 Financial Statements and Exhibits

 

On January 18, 2017 the Company issued a press release announcing Mr. Trolio’s appointment.  The text of this press release is included as an exhibit to this Form 8-K.

 

(d) Exhibits

 

99.1        Press Release of the Company dated January 18, 2017.

 

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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: January 18, 2017

HORIZON TECHNOLOGY FINANCE CORPORATION

     
     
 

By:

/s/ Robert D. Pomeroy, Jr.

 
    Robert D. Pomeroy, Jr.  
    Chief Executive Officer  

 

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