Company:  HORIZON TECHNOLOGY FINANC ... (HRZN)
Form Type:  10-K
Filing Date:  3/11/2014 
CIK:  0001487428 
Address:  312 FARMINGTON AVENUE 
City, State, Zip:  FARMINGTON, Connecticut 06032 
Telephone:  860-676-8654 
Fiscal Year:  12/31 
Last Trade
Last Trade: 
$13.74   		Change: 
-0.109 (-0.79%)  
Trade Time: 
Jan 30   		Market Cap: 
$132.27M
Description of Business
We are a specialty finance company that lends to and invests in development-stage companies in the technology, life science, healthcare information and services and cleantech industries, which we refer to collectively as our �Target Industries.� Our investment objective is to generate current income from the loans we make and capital appreciation from the warrants we receive when making such loans. We make secured loans, which we refer to as �Venture Loans,� to companies backed by established venture capital and private equity firms in our Target Industries, which we refer to as �Venture Lending.� We also selectively lend to publicly traded companies in our Target Industries.
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  FORM 10-K
    PART I
      Item 1. Business
      Item 1A. Risk Factors
      Item 1B. Unresolved Staff Comments
      Item 2. Properties
      Item 3. Legal Proceedings
      Item 4. Mine Safety Disclosures
    PART II
      Item 5. Market for Registrant's Common Equity, Related ...
      Item 6. Selected Financial Data
      Item 7. Management's Discussion and Analysis of Financial ...
        Consolidated Results of Operations
        Liquidity and Capital Resources
          BALANCE SHEET
      Item 7A. Quantitative And Qualitative Disclosures About ...
      Item 8. Consolidated Financial Statements and Supplementary Data
        Report of Independent Registered Public Accounting Firm
        Report of Independent Registered Public Accounting Firm on
        INCOME STATEMENT
        CASH FLOW
        Notes to Consolidated Financial Statements
      Item 9. Changes in and Disagreements with Accountants on ...
      Item 9A. Controls and Procedures
      Item 9B. Other Information
    PART III
      Item 10. Directors, Executive Officers and Corporate Governance
      Item 11. Executive Compensation
      Item 12. Security Ownership of Certain Beneficial Owners and ...
      Item 13. Certain Relationships and Related Transactions, and ...
      Item 14. Principal Accountant Fees and Services
    PART IV
      Item 15. Exhibits and Financial Statement Schedules
    SIGNATURES
  EXHIBIT 10.14
  EXHIBIT 10.15
  EXHIBIT 10.16
  EXHIBIT 21
  EXHIBIT 31.1
    CERTIFICATION PURSUANT TO EXCHANGE ACT
  EXHIBIT 31.2
    CERTIFICATION PURSUANT TO EXCHANGE ACT
  EXHIBIT 32.1
    CERTIFICATION OF CHIEF EXECUTIVE OFFICER
  EXHIBIT 32.2
    CERTIFICATION OF CHIEF FINANCIAL OFFICER
BROKERAGE PARTNERS
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