Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Horizon Technology Finance CorpHRZN · Entity 5939 | Director · CEO and Chairman of the Board | December 09, 2022 | December 12, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Horizon Technology Finance Corp
Report date December 09, 2022 · Filed December 12, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 172,821 |
Reported balance
After 2022-12-09 transaction · row 1
1 source rowRow 1 · 2022-12-09 · Purchase · Acquired 4,000 · Balance 172,821 F1: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer. |
| Common StockSEC Table I · non-derivative | IndirectAs custodian for grandchildren | 8,717 |
Reported balance
After 2022-12-09 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2022-12-09 · Purchase · Acquired 600 · Balance 8,717 F2: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.
F2: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 09, 2022 Filed Dec 12, 2022 14:30 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 600 | $13.03 | $7,818.00 |
DisclosureSEC source: 0001437749-22-028839 · rdgdoc.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CEO and Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandchildren Disclosed balance after: 8,717 F2 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer. Read SEC document |
| December 09, 2022 Filed Dec 12, 2022 14:30 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 4,000 | $13.03 | $52,120.00 |
DisclosureSEC source: 0001437749-22-028839 · rdgdoc.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CEO and Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,821 F1 · price: The price reported in Column 4 is the average price per share as of the transaction date. These shares were purchased in multiple transactions. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer. Read SEC document |
| June 21, 2022 Filed Jun 22, 2022 15:42 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 4,000 | $11.30 | $45,200.00 |
DisclosureSEC source: 0001415889-22-006833 · form4-06222022_080625.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 162,127 Read SEC document |
| May 06, 2022 Filed May 9, 2022 19:40 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 1,000 | $12.57 | $12,570.00 |
DisclosureSEC source: 0001415889-22-004765 · form4-05092022_120500.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandhildren Disclosed balance after: 7,674 Read SEC document |
| May 06, 2022 Filed May 9, 2022 19:40 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 4,000 | $12.73 | $50,904.00 |
DisclosureSEC source: 0001415889-22-004765 · form4-05092022_120500.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,539 Read SEC document |
| December 06, 2021 Filed Dec 7, 2021 14:49 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 600 | $16.13 | $9,678.00 |
DisclosureSEC source: 0001415889-21-005736 · form4-12072021_061223.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandhildren Disclosed balance after: 6,448 F1 · price: The price reported in Column 4 is a weighted average price as of the transaction date. These shares were purchased in multiple transactions at prices ranging from $16.12 to $16.14, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer Read SEC document |
| December 06, 2021 Filed Dec 7, 2021 14:49 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 2,500 | $16.11 | $40,275.00 |
DisclosureSEC source: 0001415889-21-005736 · form4-12072021_061223.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,244 Read SEC document |
| May 06, 2021 Filed May 6, 2021 17:23 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 600 | $16.36 | $9,816.00 |
DisclosureSEC source: 0001638599-21-000445 · doc4_7207.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandchildren Disclosed balance after: 5,475 Read SEC document |
| May 06, 2021 Filed May 6, 2021 17:23 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 2,500 | $16.34 | $40,850.00 |
DisclosureSEC source: 0001638599-21-000445 · doc4_7207.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,073 Read SEC document |
| March 05, 2021 Filed Mar 8, 2021 15:02 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 5,000 | $13.25 | $66,250.00 |
DisclosureSEC source: 0001638599-21-000329 · doc4_7151.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,986 Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 20:44 UTC Amendment | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 5,000 | $13.25 | $66,250.00 |
DisclosureSEC source: 0001638599-21-000333 · doc4a_7156.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,877 Read SEC document |
| June 04, 2020 Filed Jun 4, 2020 21:11 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 10,000 | $11.70 | $117,000.00 |
DisclosureSEC source: 0001638599-20-000550 · doc4_6735.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,204 Read SEC document |
| March 18, 2020 Filed Mar 18, 2020 21:53 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 4,000 | $5.98 | $23,920.00 |
DisclosureSEC source: 0001638599-20-000320 · doc4_6605.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,408 Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 15:33 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 800 | $10.33 | $8,264.00 |
DisclosureSEC source: 0001638599-20-000297 · doc4_6592.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandchildren Disclosed balance after: 4,336.6 F1 · ownership.direct: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.28 to $10.44, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer. Read SEC document |
| March 13, 2020 Filed Mar 16, 2020 15:33 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 4,000 | $10.75 | $43,000.00 |
DisclosureSEC source: 0001638599-20-000297 · doc4_6592.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,498 Read SEC document |
| August 07, 2019 Filed Aug 7, 2019 18:47 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 575 | $12.14 | $6,979.93 |
DisclosureSEC source: 0001638599-19-000675 · doc4_6192.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandchildren Disclosed balance after: 3,350.64 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.135 to $12.1425, inclusive. Full information regarding the number of shares purchased at each separate price will be provided upon request by the SEC staff, the issuer, or any security holder of the issuer. Read SEC document |
| August 07, 2019 Filed Aug 7, 2019 18:47 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 5,000 | $12.14 | $60,675.00 |
DisclosureSEC source: 0001638599-19-000675 · doc4_6192.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,225.43 Read SEC document |
| May 13, 2019 Filed May 13, 2019 20:10 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 555 | $11.70 | $6,493.50 |
DisclosureSEC source: 0001638599-19-000515 · doc4_6105.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandchildren Disclosed balance after: 2,719 Read SEC document |
| May 13, 2019 Filed May 13, 2019 20:10 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 4,500 | $11.70 | $52,650.00 |
DisclosureSEC source: 0001638599-19-000515 · doc4_6105.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,077 Read SEC document |
| November 28, 2017 Filed Nov 28, 2017 20:07 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 400 | $11.08 | $4,431.04 |
DisclosureSEC source: 0001638599-17-001166 · doc4_5093.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandchildren Disclosed balance after: 1,867.77 Read SEC document |
| November 28, 2017 Filed Nov 28, 2017 20:07 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 400 | $11.07 | $4,427.68 |
DisclosureSEC source: 0001638599-17-001166 · doc4_5093.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,679.93 Read SEC document |
| November 07, 2016 Filed Nov 8, 2016 19:45 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 225 | $10.49 | $2,360.25 |
DisclosureSEC source: 0001638599-16-001511 · doc4_4289.xml · nonDerivative · entry 2 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Indirect · As custodian for grandchildren Disclosed balance after: 1,306.186 Read SEC document |
| November 07, 2016 Filed Nov 8, 2016 19:45 UTC | Horizon Technology Finance Corp HRZN · Entity 5939 | PurchaseCommon Stock | 4,000 | $10.50 | $42,000.00 |
DisclosureSEC source: 0001638599-16-001511 · doc4_4289.xml · nonDerivative · entry 1 Pomeroy Robert D. Jr. · CIK 0001503748 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,116.97 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.