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(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Title of each class
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Ticker symbol(s)
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Name of each exchange on which registered
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Section 5
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Corporate Governance and Management
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Item 5.07
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Submission of Matters to a Vote of Security Holders |
Name | For | Withheld |
James J. Bottiglieri | 13,549,847 | 2,065,132 |
Gerald A. Michaud | 14,323,377 | 1,291,602 |
For | Against | Abstain |
13,761,719 | 1,052,959 | 800,301 |
Name | For | Withheld |
Michael P. Balkin | 8,836,597 | 6,778,382 |
Name | For | Withheld |
Jonathan J. Goodman | 8,824,955 | 6,790,024 |
Date: June 28, 2023
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HORIZON TECHNOLOGY FINANCE CORPORATION
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By:
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/s/ Robert D. Pomeroy, Jr.
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Robert D. Pomeroy, Jr.
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Chief Executive Officer
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