Disclosure of Asset-backed Securities (abs-15g)
01 February 2017 - 8:32AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM ABS-15G
ASSET BACKED SECURITIZER REPORT
Pursuant to Section 15G of the
Securities Exchange Act of 1934
HORIZON TECHNOLOGY FINANCE CORPORATION
(Exact Name of Registrant as Specified in
its Charter)
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¨
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Rule 15Ga-1(c)(1) under the Exchange Act (17 CFR 240.15Ga-1(c)(1)) for the reporting period
to
.
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¨
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Rule 15Ga-1(c)(2)(i) under the Exchange Act (17 CFR 240.15Ga-1(c)(2)(i)) for the quarterly reporting period _________ to __________.
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x
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Rule 15Ga-1(c)(2)(ii) under the Exchange Act (17 CFR 240.15Ga-1(c)(2)(ii)) for the annual reporting period ending December 31, 2016.
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Date of Report
(
Date of
earliest event reported)
: January 31, 2017
Commission File Number:
814-00802
Central Index Key Number of securitizer:
0001487428
Robert D. Pomeroy, Jr. (860) 676-8654
(Name and telephone number, including area
code, of the person to contact in connection with this filing.)
Indicate
by check mark whether the securitizer has no activity to report for the initial period pursuant to Rule 15Ga-1(c)(1)
¨
Indicate
by check mark whether the securitizer has no activity to report for the quarterly period pursuant to Rule 15Ga-1(c)(2)(i)
¨
Indicate
by check mark whether the securitizer has no activity to report for the annual period pursuant to Rule 15Ga-1(c)(2)(ii)
x
PART I – REPRESENTATION AND WARRANTY
INFORMATION
Item 1.01 Initial Filing of Rule 15Ga-1 Representations and
Warranties Disclosure.
Not applicable.
Item 1.02 Periodic Filing of Rule 15Ga-1 Representations
and Warranties Disclosure.
Pursuant to Rule 15Ga-1(c)(2)(ii), Horizon Technology Finance
Corporation has indicated by check mark that there is no activity to report for the calendar year ended December 31, 2016.
Item 1.03 Notice of Termination of Duty to File Reports under
Rule 15Ga-1
Horizon Technology Finance Corporation’s duty to file
periodic reports pursuant to Rule 15Ga-1 has terminated as the date of the last payment on the last asset-backed security outstanding
that was issued by it or its affiliates was June 15, 2016.
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the reporting entity has duly caused this report to be signed on its behalf by the undersigned thereunto
duly authorized.
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Horizon Technology Finance Corporation
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(Securitizer)
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Date: January 31, 2017
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By: /s/Robert D. Pomeroy, Jr.
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Robert D. Pomeroy, Jr.
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Its Chief Executive Officer
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