HRZN · Insider Trading

Horizon Technology Finance Corporation

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Every open-market purchase and sale reported by HRZN officers, directors and 10%+ beneficial owners on SEC Form 4, which must be filed within two business days of the transaction. Sales often reflect scheduled 10b5-1 plans or tax withholding rather than a directional view, so read counts alongside the size and the filer.

Form 4 Filings

most recent

Open-Market Buys

code P

Sales

code S

Reporting Insiders

current holders

HRZN — Recent Form 4 Transactions (latest 2011-12-14)

Filed	Insider	Role	Type	Shares	Value
2011-12-14	Gerald A. Michaud	President	Buy	+600	+$9.70K
2011-12-06	Robert D. Pomeroy Jr.	Chief Executive Officer	Buy	+350	+$5.34K
2011-11-21	Robert D. Pomeroy Jr.	Chief Executive Officer	Buy	+1,000	+$15.65K
2011-08-22	Christopher M. Mathieu	SVP, CFO and Treasurer	Buy	+1,000	+$15.04K
2011-08-18	Robert D. Pomeroy Jr.	Chief Executive Officer	Buy	+1,000	+$15.56K
2011-08-17	Gerald A. Michaud	President	Buy	+925	+$14.82K
2011-08-16	Robert D. Pomeroy Jr.	Chief Executive Officer	Buy	+350	+$5.58K
2011-05-20	James Bottiglieri	Director	Buy	+3,000	+$47.36K
2010-11-04	Anholt Investments Ltd.	10%+ Owner	Sell	−5,360,000	−$85.76M
2010-11-01	Christopher B. Woodward	Director	Buy	+2,500	+$39.48K

HRZN Insider Trading FAQ

Who are the insiders at HRZN?

No current Form 4 beneficial owners are on file for HRZN.

Are HRZN insiders buying or selling?

Across the 10 most recent Form 4 filings for HRZN, 9 were open-market purchases (code P) and 1 were sales (code S). Sales frequently reflect scheduled 10b5-1 plans or tax withholding rather than a view on the stock.

How current is HRZN insider data?

Form 4 must be filed within two business days of the transaction, so this is close to real time. The most recent HRZN filing is dated 2011-12-14.

How to read Form 4 activity

Form 4 reports a change in beneficial ownership by an officer, director or 10%+ holder, and must be filed within two business days of the transaction — so this is close to real time, unlike the 45-day-lagged 13F institutional data.

Transaction codes matter more than the raw buy/sell count. Code P is an open-market purchase — an insider choosing to buy with their own money, which is the signal most research treats as informative. Code S is a sale, but sales are frequently pre-scheduled under a 10b5-1 plan or cover tax withholding on vesting equity, so a run of sales often says nothing directional. Codes A and M are grants and option exercises rather than open-market decisions.

Full filing history and per-insider positions are on the HRZN quote page; the site-wide leaderboard is on the insider transactions hub.