HTFC · Insider Trading
Horizon Technology Finance Corporation 6.25% Notes due 2027
Every open-market purchase and sale reported by HTFC 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.
| Filed | Insider | Role | Type | Shares | Value |
|---|---|---|---|---|---|
| 2026-06-11 | Thomas J. Allison | Director | Buy | +6,000 | +$26.16K |
| 2026-06-11 | Kimberley Ann O'Connor | Director | Buy | +10,000 | +$43.70K |
| 2026-06-10 | Thomas J. Allison | Director | Buy | +6,000 | +$26.16K |
| 2026-06-10 | Paul G Seitz | Chief Investment Officer | Buy | +11,477 | +$49.92K |
| 2026-06-10 | Jonathan Joseph Goodman | Director | Buy | +6,000 | +$25.95K |
| 2026-06-10 | Daniel R. Trolio | Executive VP and CFO | Buy | +11,500 | +$49.91K |
| 2026-06-10 | Michael Balkin | Chief Executive Officer | MIXED | +193,527 | +$434.00K |
| 2026-04-14 | Thomas J. Allison | Director | A | +49,926 | — |
| 2026-04-14 | Paul G Seitz | Chief Investment Officer | A | +142 | — |
| 2026-04-14 | Michael Balkin | Chief Executive Officer | A | +93,527 | — |
| 2024-12-17 | Michael Balkin | Director | Buy | +20,000 | +$170.60K |
| 2024-12-02 | Gerald A. Michaud | President | Buy | +8,000 | +$74.52K |
| 2024-11-14 | Joseph J Savage | Director | Buy | +9,500 | +$88.15K |
| 2024-08-05 | Jonathan Joseph Goodman | Director | Buy | +2,313 | +$25.00K |
| 2024-08-05 | Michael Balkin | Director | Buy | +10,000 | +$105.80K |
| 2024-03-11 | Gerald A. Michaud | President | Buy | +3,650 | +$42.96K |
| 2022-12-21 | Gerald A. Michaud | President | Buy | +18,250 | +$201.30K |
| 2022-12-12 | Robert D. Pomeroy Jr. | CEO and Chairman of the Board | Buy | +4,600 | +$59.94K |
| 2022-12-07 | Gerald A. Michaud | President | Buy | +4,000 | +$51.60K |
| 2022-11-17 | Daniel R. Trolio | Executive VP and CFO | Buy | +758 | +$9.88K |
| 2022-09-30 | Edmund V. Mahoney | Director | Buy | +500 | +$4.94K |
| Insider | Role | Shares Held | Value |
|---|---|---|---|
| Michael Balkin | Chief Executive Officer | 243,527 | $6.05M |
| Gerald A. Michaud | President | 169,309 | $4.21M |
| Joseph J Savage | Director | 59,500 | $1.48M |
| Thomas J. Allison | Director | 56,617 | $1.41M |
| Daniel R. Trolio | Executive VP and CFO | 15,023 | $373.32K |
| Paul G Seitz | Chief Investment Officer | 12,242 | $304.21K |
| Kimberley Ann O'Connor | Director | 10,000 | $248.50K |
| Jonathan Joseph Goodman | Director | 8,312 | $206.55K |
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 HTFC quote page; the site-wide leaderboard is on the insider transactions hub.
Market data may be delayed, incomplete, or inaccurate. Not a recommendation to buy, sell, or hold any security. Verify quotes with your broker before trading. See Terms §17.