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HRZN > SEC Filings for HRZN > Form 8-K on 5-Aug-2014All Recent SEC Filings

Show all filings for HORIZON TECHNOLOGY FINANCE CORP

Form 8-K for HORIZON TECHNOLOGY FINANCE CORP


5-Aug-2014

Entry into a Material Definitive Agreement, Financial Statements


Item 1.01 Entry into a Material Definitive Agreement.

On August 1, 2014, Horizon Technology Finance Corporation (the "Company") and its registered investment advisor, Horizon Technology Finance Management LLC (the "Advisor"), renewed the Investment Management Agreement dated October 28, 2010 (the "Advisory Agreement"), by and between the Company and the Advisor, and amended the Advisory Agreement, effective July 1, 2014. The amendments to the Advisory Agreement (i) remove cash and cash equivalents from gross assets when calculating the base management fee payable to the Advisor under Section 3(a) of the Advisory Agreement and (ii) place a fee cap and deferral mechanism on part one of the incentive fee payable to the Advisor under Section 3(b)(i) of the Advisory Agreement.

Each of the Company and the Advisor has concluded that the amendments to the Advisory Agreement will not result in any increase in fees which would otherwise have been owed to the Advisor under the Advisory Agreement.

The description above is only a summary of the material provisions of the amendments to the Advisory Agreement and is qualified in its entirety by reference to the form of Amended and Restated Investment Management Agreement, which is filed as Exhibit 10.1 to this current report on Form 8-K and by this reference incorporated herein.



Item 9.01 Financial Statements and Exhibits

(d) Exhibit.

10.1 Form of Amended and Restated Investment Management Agreement dated as of October 28, 2010 and amended effective July 1, 2014, by and between Horizon Technology Finance Corporation and Horizon Technology Finance Management
LLC.

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